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••••• D•••••
- W•••• F•••• A••••••• wirehouse currentsince Mar 18, 2013 · Westlake Village, Ca
- D••••••• B••• S••••••••• I••• no RAUMJun 12, 2007 to Mar 25, 2013 · Los Angeles, Ca
- N••••••• T•••• S••••••••• I•• BD affiliatedApr 5, 2002 to Jun 11, 2007 · Los Angeles, Ca
- D••••••• B••• S••••••••• I••• to W•••• F•••• A•••••••left Mar 25, 2013, registered Mar 18, 2013 (-7 days) · Other
- N••••••• T•••• S••••••••• I•• to D••••••• B••• S••••••••• I•••left Jun 11, 2007, registered Jun 12, 2007 (1 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
- 38derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address