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.
N••••••• M•••••• C•••••••
- B••••• P••••• A•••••••• L•• independent RIA currentsince Oct 25, 2024 · Pasadena, Ca
- B••••• A••••••• L•• formerOct 4, 2023 to Oct 31, 2024 · Pasadena, Ca
- K• F•••••••• I••• independent RIAAug 30, 2019 to Sep 28, 2023 · Glendora, Ca
- B••••• A••••••• L•• to B••••• P••••• A•••••••• L••left Oct 31, 2024, registered Oct 25, 2024 (-6 days) · RIA to RIA · moved with a team
- K• F•••••••• I••• to B••••• A••••••• L••left Sep 28, 2023, registered Oct 4, 2023 (6 days) · RIA to RIA
- N••••••• M•••••• C••••••• left B••••• A••••••• L•• for B••••• P••••• A•••••••• L•• (registered 2024-10-25)Oct 31, 2024 · Advisor changed firm · fact
- N••••••• M•••••• C••••••• left K• F•••••••• I••• for B••••• A••••••• L•• (registered 2023-10-04)Sep 28, 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
- Independent wealth managerderived
- Years in industry
- 17derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address