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••••••• C•••••••
- V•••••• A•••••••• I••• BD affiliated currentsince Jul 5, 2022 · Irvine, Ca
- F•• W••••• M••••••••• L•• state registeredSep 9, 2022 to Jul 31, 2023 · Irvine, Ca
- S••••••• F•••••••• S•••••••• I••• formerJul 17, 2019 to Jul 7, 2022 · Newport Beach, Ca
- F•• W••••• M••••••••• L•• to no registered destinationleft Jul 31, 2023 · Departure, no registered destination
- S••••••• F•••••••• S•••••••• I••• to V•••••• A•••••••• I•••left Jul 7, 2022, registered Jul 5, 2022 (-2 days) · RIA to affiliated broker-dealer or bank · moved with a team
- D•••• C••••••• C••••••• no longer registered at F•• W••••• M••••••••• L••; no later IA registration on IAPDJul 31, 2023 · Advisor departure · fact
- D•••• C••••••• C••••••• left S••••••• F•••••••• S•••••••• I••• for V•••••• A•••••••• I••• (registered 2022-07-05)Jul 7, 2022 · 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
- 10derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address