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.
J••••••• R••• F•••••
- A•••••• W••••• M••••••••• L•• independent RIA currentsince Feb 29, 2012 · Santa Monica, Ca
- L•• F•••••••• L•• BD affiliatedAug 2, 2010 to Feb 4, 2011 · Los A••••••, Ca
- H••••• C•••••• M••••••••• formerSep 17, 2002 to Nov 10, 2009 · Los A••••••, Ca
- L•• F•••••••• L•• to A•••••• W••••• M••••••••• L••left Feb 4, 2011, registered Feb 29, 2012 (390 days) · Other
- H••••• C•••••• M••••••••• to L•• F•••••••• L••left Nov 10, 2009, registered Aug 2, 2010 (265 days) · Other
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
- 31derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address