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.
G•••••• R••••• S•••
- M••••• S•••••• wirehouse currentsince Mar 25, 2022 · Agoura Hills, Ca
- S•••••• N••••••• • C••••••• I••••••••• national BDNov 3, 2011 to Mar 28, 2022 · Los Angeles, Ca
- S•••• • Y•••••••• L•• formerJul 6, 2004 to Nov 2, 2011 · Sherman Oaks, Ca
- S•••••• N••••••• • C••••••• I••••••••• to M••••• S••••••left Mar 28, 2022, registered Mar 25, 2022 (-3 days) · Affiliated broker-dealer or bank to wirehouse · moved with a team
- S•••• • Y•••••••• L•• to S•••••• N••••••• • C••••••• I•••••••••left Nov 2, 2011, registered Nov 3, 2011 (1 days) · channel change inside one enterprise, not a move
- G•••••• R••••• S••• left S•••••• N••••••• • C••••••• I••••••••• for M••••• S•••••• (registered 2022-03-25)Mar 28, 2022 · Advisor changed firm · fact
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
- 27derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address