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.
D••••• C••••
- G•••••• C•••••• W••••• M••••••••• L•• state registered currentsince Sep 19, 2022 · Huntington Beach, Ca
- M••••••• C•••••• M••••••••• L•• state registered currentsince May 7, 2019 · Huntington Beach, Ca
- C••••••• A••••••• N••••••• L•• i••••••••• wealthOct 9, 2018 to Oct 11, 2019 · Newport Beach, Ca
- I••••••••• F•••••••• G••••• L•• BD affiliatedJan 12, 2016 to Oct 5, 2018 · San Clemente, Ca
- C••••••• A••••••• N••••••• L•• to M••••••• C•••••• M••••••••• L••left Oct 11, 2019, registered May 7, 2019 (-157 days) · RIA to a state-registered adviser
- I••••••••• F•••••••• G••••• L•• to C••••••• A••••••• N••••••• L••left Oct 5, 2018, registered Oct 9, 2018 (4 days) · Affiliated broker-dealer or bank to independent RIA
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
- 12derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address