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.
F•••••••• J•••• P•••••••
- J• K• R• • C••••••• I••• independent RIA currentsince Sep 1, 2023 · Van Nuys, Ca
- W••••••••• R••••••••• A••••••• institutionalSep 5, 2023 to Oct 20, 2023 · Aliso Viejo, Ca
- W••••••••• R••••••••• A••••••• institutionalNov 28, 2016 to Sep 5, 2023 · Aliso Viejo, Ca
- K••••• A••••••• S•••••••• L•• BD affiliatedApr 18, 2016 to Dec 12, 2016 · Aliso Viejo, Ca
- N•• A•••••• S•••••••• L•• formerAug 8, 2014 to Sep 22, 2016 · Aliso Viejo, Ca
- F•••••••• T••••••• I••• formerMar 2, 2006 to Aug 12, 2014 · Aliso Viejo, Ca
- S•••••••• F••••••••• I••• formerOct 31, 2005 to Mar 6, 2006 · Laguna Hills, Ca
- S••••• S••••••••• C••••••••• unclassifiedApr 30, 2001 to Oct 31, 2005 · Laguna Hills, Ca
- W••••••••• R••••••••• A••••••• to no registered destinationleft Oct 20, 2023 · Departure, no registered destination
- W••••••••• R••••••••• A••••••• to J• K• R• • C••••••• I•••left Sep 5, 2023, registered Sep 1, 2023 (-4 days) · Other
- K••••• A••••••• S•••••••• L•• to W••••••••• R••••••••• A•••••••left Dec 12, 2016, registered Nov 28, 2016 (-14 days) · Other
- N•• A•••••• S•••••••• L•• to K••••• A••••••• S•••••••• L••left Sep 22, 2016, registered Apr 18, 2016 (-157 days) · corporate re-registration, not a move
- F•••••••• T••••••• I••• to N•• A•••••• S•••••••• L••left Aug 12, 2014, registered Aug 8, 2014 (-4 days) · Other
- S•••••••• F••••••••• I••• to F•••••••• T••••••• I•••left Mar 6, 2006, registered Mar 2, 2006 (-4 days) · Other
- S••••• S••••••••• C••••••••• to S•••••••• F••••••••• I•••left Oct 31, 2005, registered Oct 31, 2005 (0 days) · corporate re-registration, not a move
- F•••••••• J•••• P••••••• no longer registered at W••••••••• R••••••••• A•••••••; no later IA registration on IAPDOct 20, 2023 · a•••••• departure · fact
- F•••••••• J•••• P••••••• left W••••••••• R••••••••• A••••••• for J• K• R• • C••••••• I••• (registered 2023-09-01)Sep 5, 2023 · a•••••• firm change · 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
- 49derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address