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.
A•••••• B•••••• C••••
- B• R•••• W••••• A•••••••• I••• BD affiliated currentsince Jul 29, 2019 · Tarzana, Ca
- W•••••• S••••••••• I••• BD affiliatedJan 5, 2016 to Jun 6, 2019 · Los Angeles, Ca
- S••••••••• F•••••••• S•••••••• I••• unclassifiedDec 5, 2008 to Dec 1, 2015 · Beverly Hills, Ca
- T• A••••••••• I••• formerSep 11, 2003 to Dec 4, 2006 · Beverly Hills, Ca
- W•••••• S••••••••• I••• to B• R•••• W••••• A•••••••• I•••left Jun 6, 2019, registered Jul 29, 2019 (53 days) · Affiliated broker-dealer or bank to another
- S••••••••• F•••••••• S•••••••• I••• to W•••••• S••••••••• I•••left Dec 1, 2015, registered Jan 5, 2016 (35 days) · Other
- T• A••••••••• I••• to S••••••••• F•••••••• S•••••••• I•••left Dec 4, 2006, registered Dec 5, 2008 (732 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
- 38derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address