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.
P••••• R••••• S••••
- G•••••• S•••• W••••• S•••••••• L••• BD affiliated currentsince Oct 23, 2023 · Newport Beach, Ca
- U••••• C•••••• F•••••••• A••••••• independent RIADec 23, 2020 to Oct 24, 2023 · Irvine, Ca
- G•••••• S•••• W••••• S•••••••• L••• BD affiliatedOct 2, 2015 to Dec 23, 2020 · Irvine, Ca
- U••••• C•••••• F•••••••• A••••••• to G•••••• S•••• W••••• S•••••••• L•••left Oct 24, 2023, registered Oct 23, 2023 (-1 days) · Affiliated broker-dealer or bank to another · moved with a team
- G•••••• S•••• W••••• S•••••••• L••• to U••••• C•••••• F•••••••• A•••••••left Dec 23, 2020, registered Dec 23, 2020 (0 days) · Affiliated broker-dealer or bank to another · moved with a team
- P••••• R••••• S•••• left U••••• C•••••• F•••••••• A••••••• for G•••••• S•••• W••••• S•••••••• L••• (registered 2023-10-23)Oct 24, 2023 · Advisor changed firm · fact
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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 12derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address