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.
C••••• W••••• M•••••
- A••••••••• F•••••••• S•••••••• L•• national BD currentsince Apr 11, 2024 · San Dimas, Ca
- P•••• S••••••••• L•• no RAUMFeb 23, 2024 to Mar 7, 2024 · Orange, Ca
- O••••••• F•••••••• I••• asset managerMar 17, 2023 to Jan 9, 2024 · Irvine, Ca
- P•••• S••••••••• L•• to A••••••••• F•••••••• S•••••••• L••left Mar 7, 2024, registered Apr 11, 2024 (35 days) · Affiliated broker-dealer or bank to another
- O••••••• F•••••••• I••• to P•••• S••••••••• L••left Jan 9, 2024, registered Feb 23, 2024 (45 days) · RIA to affiliated broker-dealer or bank
- C••••• W••••• M••••• left P•••• S••••••••• L•• for A••••••••• F•••••••• S•••••••• L•• (registered 2024-04-11)Mar 7, 2024 · Advisor changed firm · fact
- C••••• W••••• M••••• left O••••••• F•••••••• I••• for P•••• S••••••••• L•• (registered 2024-02-23)Jan 9, 2024 · 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