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.
D•••• A••• B•••••
- S•••••• A••••••••• L••• independent RIA currentsince Oct 31, 2017 · Beverly Hills, Ca
- S••••••••• F•••••••• S•••••••• I••• unclassifiedJul 1, 2010 to Dec 31, 2017 · Beverly Hills, Ca
- J•••• • L••••• S••••••••• C••• unclassifiedDec 9, 2009 to Jul 14, 2010 · New York, Ny
- M•••• • C••••• I•• BD affiliatedAug 21, 2007 to Sep 25, 2009 · Beverly Hills, Ca
- P••••••••• E••••• G••••• L•• unclassifiedMar 27, 1998 to Jul 5, 2002 · Encino, Ca
- S••••••••• F•••••••• S•••••••• I••• to S•••••• A••••••••• L•••left Dec 31, 2017, registered Oct 31, 2017 (-61 days) · Other · moved with a team
- J•••• • L••••• S••••••••• C••• to S••••••••• F•••••••• S•••••••• I•••left Jul 14, 2010, registered Jul 1, 2010 (-13 days) · Other
- M•••• • C••••• I•• to J•••• • L••••• S••••••••• C•••left Sep 25, 2009, registered Dec 9, 2009 (75 days) · Other
- P••••••••• E••••• G••••• L•• to M•••• • C••••• I••left Jul 5, 2002, registered Aug 21, 2007 (1873 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
- 42derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address