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.
S••••• J••• F••
- L•• F•••••••• L•• BD affiliated currentsince Jul 31, 2019 · Los Angeles, Ca
- D••• D••••••• • C•• independent RIAApr 23, 2014 to Aug 1, 2019 · Encino, Ca
- W•••• F•••• A••••••• wirehouseMay 12, 2003 to May 15, 2003 · Woodland Hills, Ca
- D••• D••••••• • C•• to L•• F•••••••• L••left Aug 1, 2019, registered Jul 31, 2019 (-1 days) · RIA to RIA
- W•••• F•••• A••••••• to D••• D••••••• • C••left May 15, 2003, registered Apr 23, 2014 (3996 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
- 42derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address