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••• H••••• K••••
- A••••••••• F•••••••• S•••••••• L•• national BD currentsince Nov 4, 2016 · Burbank, Ca
- K•••• I••••••••• S•••••••• I••• unclassifiedAug 12, 2008 to Dec 31, 2010 · Studio City, Ca
- 1•• G••••• A••••••• I•• formerSep 24, 2004 to Nov 4, 2016 · Sherman Oaks, Ca
- M••• S••••••••• C••••••••• unclassifiedDec 2, 2003 to Oct 13, 2004 · Sherman Oaks, Ca
- T•••••• S••••••••• A••••••• C•••• unclassifiedSep 8, 2003 to Dec 2, 2003 · Sherman Oaks, Ca
- V••• F•••••••• P•••••••• L•• formerJul 5, 2000 to Aug 11, 2003 · Sherman Oaks, Ca
- 1•• G••••• A••••••• I•• to K•••• I••••••••• S•••••••• I•••left Nov 4, 2016, registered Aug 12, 2008 (-3006 days) · Other
- K•••• I••••••••• S•••••••• I••• to A••••••••• F•••••••• S•••••••• L••left Dec 31, 2010, registered Nov 4, 2016 (2135 days) · Other
- M••• S••••••••• C••••••••• to 1•• G••••• A••••••• I••left Oct 13, 2004, registered Sep 24, 2004 (-19 days) · Other
- T•••••• S••••••••• A••••••• C•••• to M••• S••••••••• C•••••••••left Dec 2, 2003, registered Dec 2, 2003 (0 days) · Other
- V••• F•••••••• P•••••••• L•• to T•••••• S••••••••• A••••••• C••••left Aug 11, 2003, registered Sep 8, 2003 (28 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
- National broker-dealer RIAderived
- Years in industry
- 28derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address