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•••••••• L•••• B••••
- I••••••••• F•••••••• G••••• L•• BD affiliated currentsince Feb 23, 2009 · Palm Desert, Ca
- W••••••• F•••••••• S•••••••• I••• formerJan 16, 2009 to Feb 18, 2009 · Palm Desert, Ca
- C• W••••• M••••••••• G•••• unclassifiedAug 24, 2004 to Apr 27, 2012 · Palm Desert, Ca
- N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N•• formerJul 16, 1999 to Jan 15, 2009 · Palm Desert, Ca
- C• W••••• M••••••••• G•••• to W••••••• F•••••••• S•••••••• I•••left Apr 27, 2012, registered Jan 16, 2009 (-1197 days) · Other
- W••••••• F•••••••• S•••••••• I••• to I••••••••• F•••••••• G••••• L••left Feb 18, 2009, registered Feb 23, 2009 (5 days) · Other
- N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N•• to C• W••••• M••••••••• G••••left Jan 15, 2009, registered Aug 24, 2004 (-1605 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
- 35derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address