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.
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- T••••• W••••• P•••••••• L•• independent RIA currentsince Dec 26, 2023 · Irvine, Ca
- M••••• W••••• M••••••••• I••• independent RIAFeb 7, 2023 to Dec 14, 2023 · Anaheim, Ca
- W•••• F•••• A••••••• wirehouseSep 14, 2022 to Jan 25, 2023 · Irvine, Ca
- M••••• W••••• M••••••••• I••• to T••••• W••••• P•••••••• L••left Dec 14, 2023, registered Dec 26, 2023 (12 days) · RIA to RIA
- W•••• F•••• A••••••• to M••••• W••••• M••••••••• I•••left Jan 25, 2023, registered Feb 7, 2023 (13 days) · Wirehouse to independent RIA
- C••••• N••••• left M••••• W••••• M••••••••• I••• for T••••• W••••• P•••••••• L•• (registered 2023-12-26)Dec 14, 2023 · Advisor changed firm · fact
- C••••• N••••• left W•••• F•••• A••••••• for M••••• W••••• M••••••••• I••• (registered 2023-02-07)Jan 25, 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
- 14derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address