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•••••• M••••
- O• I••••••••• M••••••••• C• BD affiliated currentsince Jul 30, 2013 · Palos Verdes Estates, Ca
- M•• I•••••••• S•••••••• L•• BD affiliatedNov 1, 2006 to Jul 5, 2013 · Palos Verdes Estates, Ca
- U•• S••••••••• I••• no RAUMAug 15, 2005 to Apr 25, 2006 · Glastonbury, Ct
- M•• I•••••••• S•••••••• L•• BD affiliatedJul 16, 1999 to Aug 1, 2005 · Palos Verdess Estates, Ca
- M•• I•••••••• S•••••••• L•• to O• I••••••••• M••••••••• C•left Jul 5, 2013, registered Jul 30, 2013 (25 days) · Other
- U•• S••••••••• I••• to M•• I•••••••• S•••••••• L••left Apr 25, 2006, registered Nov 1, 2006 (190 days) · Other
- M•• I•••••••• S•••••••• L•• to U•• S••••••••• I•••left Aug 1, 2005, registered Aug 15, 2005 (14 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
- 31derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address