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••• E•••••• G•••••• D• L• R•••
- U•• F•••••••• S••••••• I••• wirehouse currentsince Nov 24, 2015 · Pasadena, Ca
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseFeb 14, 2005 to Nov 27, 2015 · Pasadena, Ca
- M••••• S•••••• D• I••• unclassifiedDec 12, 1997 to Feb 14, 2005 · Pasadena, Ca
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to U•• F•••••••• S••••••• I•••left Nov 27, 2015, registered Nov 24, 2015 (-3 days) · Wirehouse to wirehouse · moved with a team
- M••••• S•••••• D• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Feb 14, 2005, registered Feb 14, 2005 (0 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
- 36derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address