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.
S•••• D•••• A••••
- T•••• A••• W••••• M••••••••• L•• independent RIA currentsince Jan 9, 2025 · Irvine, Ca
- I•••• F••• A•••••••• I••• independent RIASep 25, 2024 to Jan 10, 2025 · Irvine, Ca
- A••••• A••••••• independent RIADec 7, 2021 to Aug 1, 2024 · Irvine, Ca
- I•••• F••• A•••••••• I••• to T•••• A••• W••••• M••••••••• L••left Jan 10, 2025, registered Jan 9, 2025 (-1 days) · RIA to a newly registered adviser · moved with a team
- A••••• A••••••• to I•••• F••• A•••••••• I•••left Aug 1, 2024, registered Sep 25, 2024 (55 days) · RIA to RIA
- S•••• D•••• A•••• left I•••• F••• A•••••••• I••• for T•••• A••• W••••• M••••••••• L•• (registered 2025-01-09)Jan 10, 2025 · Advisor changed firm · fact
- S•••• D•••• A•••• left A••••• A••••••• for I•••• F••• A•••••••• I••• (registered 2024-09-25)Aug 1, 2024 · 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
- Independent wealth managerderived
- Years in industry
- 10derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address