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.
C•••• R••••• W•••••••
- D•••••••• A••••••• S•••••••• L•• BD affiliated currentsince Sep 5, 2023 · La Canada, Ca
- A••••••• F•••••••• N•••••• A••••••• S•••••••• L•• formerAug 8, 2017 to Jul 2, 2018 · Los Angeles, Ca
- P•••••• A••••••••• A••••••• G••••• L•• formerJun 22, 2011 to Sep 5, 2013 · Pasadena, Ca
- N•• A•••••••• I••• unclassifiedOct 28, 2008 to Oct 13, 2009 · Pasadena, Ca
- B••••• A••••••• L•• formerOct 21, 2008 to Aug 31, 2017 · Pasadena, Ca
- P••••••• • A••••••••• I••• unclassifiedJul 30, 2008 to Nov 20, 2008 · Pasadena, Ca
- N•• F••••••••• I••• unclassifiedMay 30, 2008 to Oct 28, 2008 · Bryan, Oh
- W•••••• I••••••••• S••••••••• formerFeb 22, 2000 to Oct 9, 2009 · Pasadena, Ca
- A••••••• F•••••••• N•••••• A••••••• S•••••••• L•• to D•••••••• A••••••• S•••••••• L••left Jul 2, 2018, registered Sep 5, 2023 (1891 days) · RIA to affiliated broker-dealer or bank · moved with a team
- B••••• A••••••• L•• to N•• A•••••••• I•••left Aug 31, 2017, registered Oct 28, 2008 (-3229 days) · Other
- P•••••• A••••••••• A••••••• G••••• L•• to A••••••• F•••••••• N•••••• A••••••• S•••••••• L••left Sep 5, 2013, registered Aug 8, 2017 (1433 days) · Other
- N•• A•••••••• I••• to P•••••• A••••••••• A••••••• G••••• L••left Oct 13, 2009, registered Jun 22, 2011 (617 days) · Other
- W•••••• I••••••••• S••••••••• to N•• F••••••••• I•••left Oct 9, 2009, registered May 30, 2008 (-497 days) · Other
- P••••••• • A••••••••• I••• to B••••• A••••••• L••left Nov 20, 2008, registered Oct 21, 2008 (-30 days) · Other
- N•• F••••••••• I••• to P••••••• • A••••••••• I•••left Oct 28, 2008, registered Jul 30, 2008 (-90 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
- 40derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address