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.
A••••• M•••••• B•••••••
- B••••• C•••••• M••••••••• L•• independent RIA currentsince Jul 11, 2024 · Franklin, Tn
- S••••••••• W••••• mixed wealthDec 4, 2023 to May 23, 2024 · Rancho Santa Margarita, Ca
- G••••••• A•••••••• L•• independent RIAJan 31, 2022 to Nov 29, 2023 · Rancho Santa Margarita, Ca
- S••••••••• W••••• to B••••• C•••••• M••••••••• L••left May 23, 2024, registered Jul 11, 2024 (49 days) · Other
- G••••••• A•••••••• L•• to S••••••••• W•••••left Nov 29, 2023, registered Dec 4, 2023 (5 days) · RIA to RIA
- A••••• M•••••• B••••••• left S••••••••• W••••• for B••••• C•••••• M••••••••• L•• (registered 2024-07-11)May 23, 2024 · Advisor changed firm · fact
- A••••• M•••••• B••••••• left G••••••• A•••••••• L•• for S••••••••• W••••• (registered 2023-12-04)Nov 29, 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
- 11derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address