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.
- E•••••••• A•••••••• L•• national BD currentsince Dec 18, 2023 · Irvine, Ca
- P•••• S••••••••• L•• no RAUMApr 25, 2023 to Dec 13, 2023 · Orange, Ca
- A•••••• A••••••• S••••••• formerFeb 9, 2021 to Apr 10, 2023 · Irvine, Ca
- P•••• S••••••••• L•• to E•••••••• A•••••••• L••left Dec 13, 2023, registered Dec 18, 2023 (5 days) · Affiliated broker-dealer or bank to another
- A•••••• A••••••• S••••••• to P•••• S••••••••• L••left Apr 10, 2023, registered Apr 25, 2023 (15 days) · Affiliated broker-dealer or bank to another
- F•• C••• left P•••• S••••••••• L•• for E•••••••• A•••••••• L•• (registered 2023-12-18)Dec 13, 2023 · Advisor changed firm · fact
- F•• C••• left A•••••• A••••••• S••••••• for P•••• S••••••••• L•• (registered 2023-04-25)Apr 10, 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
- National broker-dealer RIAderived
- Years in industry
- 10derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address