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.
- M••••• S•••••• wirehouse currentsince Jul 11, 2016 · Santa Fe, Nm
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseAug 25, 2010 to Apr 4, 2016 · El Segundo, Ca
- W•••••• O••••• • C•••••• no RAUMJan 27, 2010 to May 12, 2010
- W•••••• O••••• S••••••••• unclassifiedNov 7, 2002 to Feb 12, 2010 · Los Angeles, Ca
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to M••••• S••••••left Apr 4, 2016, registered Jul 11, 2016 (98 days) · Wirehouse to wirehouse · moved with a team
- W•••••• O••••• • C•••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left May 12, 2010, registered Aug 25, 2010 (105 days) · Other
- W•••••• O••••• S••••••••• to W•••••• O••••• • C••••••left Feb 12, 2010, registered Jan 27, 2010 (-16 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
- Wirehousederived
- Years in industry
- 26derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address