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.
H•••• C• G•••••••
- C•••••• S••••• • C••• I••• national BD currentsince Apr 27, 2015 · Santa Barbara, Ca
- W•••••• S••••••••• I••• BD affiliatedJun 22, 2007 to Apr 17, 2015 · Los Angeles, Ca
- B••••••••• S••••••••• C••••••••• unclassifiedNov 7, 2005 to Jun 25, 2007 · Park City, Ut
- W•••• F•••• A••••••• wirehouseJan 27, 2004 to Nov 2, 2005 · Salt Lake City, Ut
- W•••••• S••••••••• I••• to C•••••• S••••• • C••• I•••left Apr 17, 2015, registered Apr 27, 2015 (10 days) · Other
- B••••••••• S••••••••• C••••••••• to W•••••• S••••••••• I•••left Jun 25, 2007, registered Jun 22, 2007 (-3 days) · Other
- W•••• F•••• A••••••• to B••••••••• S••••••••• C•••••••••left Nov 2, 2005, registered Nov 7, 2005 (5 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
- 41derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address