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.
I••• A• Z••
- T•• A•••••••• I••• BD affiliated currentsince Jan 14, 2016 · Summit, Nj
- O•••••• S••••••• A••••••• C••• formerNov 30, 2007 to Nov 6, 2008 · Los Angeles, Ca
- E•••••••• A•••••••• L•• national BDMar 11, 2004 to Sep 25, 2007 · Los Angeles, Ca
- O•••••• S••••••• A••••••• C••• to T•• A•••••••• I•••left Nov 6, 2008, registered Jan 14, 2016 (2625 days) · Other
- E•••••••• A•••••••• L•• to O•••••• S••••••• A••••••• C•••left Sep 25, 2007, registered Nov 30, 2007 (66 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 29derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address