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.
D••••• D•••••••
- D••••• J• D••••••• C••• L•• state registered currentsince Oct 1, 2009 · Thousand Oaks, Ca
- B••••••••• I••••••••• A••••••• S••••••• formerFeb 7, 2008 to Jun 18, 2009 · Beverly Hills, Ca
- G•••••••• F••••••••• I•• unclassifiedSep 4, 2003 to Aug 8, 2005 · Mission Hills, Ca
- E•••••••• A•••••••• L•• national BDMay 21, 2001 to Aug 8, 2003 · Woodland Hills, Ca
- B••••••••• I••••••••• A••••••• S••••••• to D••••• J• D••••••• C••• L••left Jun 18, 2009, registered Oct 1, 2009 (105 days) · Other
- G•••••••• F••••••••• I•• to B••••••••• I••••••••• A••••••• S•••••••left Aug 8, 2005, registered Feb 7, 2008 (913 days) · Other
- E•••••••• A•••••••• L•• to G•••••••• F••••••••• I••left Aug 8, 2003, registered Sep 4, 2003 (27 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
- STATE REGISTEREDderived
- Years in industry
- 38derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address