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.
K•••• L••• M•••••••••
- R•••••••• S••••••• independent RIA currentsince Oct 11, 2021 · San Francisco, Ca
- L••• independent RIAJul 11, 2008 to Oct 6, 2021 · Pasadena, Ca
- N•••••• A•••••••• L•• BD affiliatedApr 12, 2006 to Oct 13, 2008 · Boston, Ma
- L•••••• S••••• • C••••••• L••• otherDec 9, 2002 to Oct 2, 2008 · Pasadena, Ca
- L••• to R•••••••• S•••••••left Oct 6, 2021, registered Oct 11, 2021 (5 days) · RIA to RIA
- N•••••• A•••••••• L•• to L•••left Oct 13, 2008, registered Jul 11, 2008 (-94 days) · Other
- L•••••• S••••• • C••••••• L••• to N•••••• A•••••••• L••left Oct 2, 2008, registered Apr 12, 2006 (-904 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
- Independent wealth managerderived
- Years in industry
- 23derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address