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•••••• M••••••• S••••
- W•••• F•••• A••••••• wirehouse currentsince Jan 3, 2011 · Beverly Hills, Ca
- W•••• F•••• I••••••••• L•• unclassifiedMar 7, 2007 to Jan 3, 2011 · Beverly Hills, Ca
- N•••••••• B••••• B• L•• no RAUMNov 10, 2004 to Feb 20, 2007 · Los Angeles, Ca
- D•• I••••••••• M••••••••• A•••••••• I••• otherMar 15, 2001 to Dec 1, 2004 · Los Angeles, Ca
- W•••• F•••• I••••••••• L•• to W•••• F•••• A•••••••left Jan 3, 2011, registered Jan 3, 2011 (0 days) · corporate re-registration, not a move
- N•••••••• B••••• B• L•• to W•••• F•••• I••••••••• L••left Feb 20, 2007, registered Mar 7, 2007 (15 days) · Other
- D•• I••••••••• M••••••••• A•••••••• I••• to N•••••••• B••••• B• L••left Dec 1, 2004, registered Nov 10, 2004 (-21 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
- Wirehousederived
- Years in industry
- 27derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address