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.
- G•••• S••••• former currentsince Feb 27, 2025 · Newport Beach, Ca
- G•••• S••••• formerNov 11, 2019 to Dec 21, 2021 · Newport Beach, Ca
- P•••••••• S••••••••• I••• BD affiliatedJan 18, 2019 to Oct 18, 2019 · Irvine, Ca
- S••••••• F•••••••• S•••••••• I••• formerOct 9, 2018 to Nov 30, 2018 · Newport Beach, Ca
- P•••••••• S••••••••• I••• to G•••• S•••••left Oct 18, 2019, registered Nov 11, 2019 (24 days) · Other
- S••••••• F•••••••• S•••••••• I••• to P•••••••• S••••••••• I•••left Nov 30, 2018, registered Jan 18, 2019 (49 days) · Affiliated broker-dealer or bank to another
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
- Former SEC-registered adviserderived
- Years in industry
- 12derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address