RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.
A••• H• G•••••
- V•••••• A•••• M••••••••• I••• state registered currentsince Nov 18, 2022 · Saint Louis, Mo
- G••••• I••••••••• G•••• L•• state registered currentsince Apr 12, 2021 · San Diego, Ca
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseFeb 2, 2017 to Aug 2, 2019 · Irvine, Ca
- C•••••••• F••••••••• I••• BD affiliatedSep 20, 2016 to Dec 31, 2016 · Irvine, Ca
- I••••••••• F•••••••• G••••• L•• BD affiliatedMay 31, 2016 to Sep 20, 2016 · Irvine, Ca
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseAug 12, 2015 to May 31, 2016 · Irvine, Ca
- C•••••••• F••••••••• I••• BD affiliatedMar 9, 2015 to Jul 9, 2015 · Laguna Niguel, Ca
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to G••••• I••••••••• G•••• L••left Aug 2, 2019, registered Apr 12, 2021 (619 days) · Wirehouse to a state-registered adviser
- C•••••••• F••••••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Dec 31, 2016, registered Feb 2, 2017 (33 days) · Other
- I••••••••• F•••••••• G••••• L•• to C•••••••• F••••••••• I•••left Sep 20, 2016, registered Sep 20, 2016 (0 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to I••••••••• F•••••••• G••••• L••left May 31, 2016, registered May 31, 2016 (0 days) · Other
- C•••••••• F••••••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Jul 9, 2015, registered Aug 12, 2015 (34 days) · Other
Mobility scoring is not published yet. The observable conditions this page will draw on once the historical validation is done: tenure, the firm’s own departures and ownership changes, new state registrations, a new adviser entity with this person on Schedule A, and colleagues’ moves. Until precision and lead time are measured on known moves, no label is printed. Read the methodology.
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- STATE REGISTEREDderived
- Years in industry
- 11derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address