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.
S••••• L•• C•••••
- C••••• I••••••••• A••••••• L•• BD affiliated currentsince Feb 17, 2021 · Glendale, Ca
- S••••• F•••••••• G•••• I•• formerFeb 17, 2021 to May 20, 2021 · Glendale, Ca
- D••• D••••••• • C•• independent RIAJan 8, 2020 to Oct 14, 2020 · Los Angeles, Ca
- C••••• A•••••• N••••••• L•• formerApr 29, 2013 to Dec 31, 2019 · Pasadena, Ca
- S••••• F•••••••• G•••• I•• to C••••• I••••••••• A••••••• L••left May 20, 2021, registered Feb 17, 2021 (-92 days) · corporate re-registration, not a move
- D••• D••••••• • C•• to S••••• F•••••••• G•••• I••left Oct 14, 2020, registered Feb 17, 2021 (126 days) · RIA to affiliated broker-dealer or bank
- C••••• A•••••• N••••••• L•• to D••• D••••••• • C••left Dec 31, 2019, registered Jan 8, 2020 (8 days) · Affiliated broker-dealer or bank to independent RIA
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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 36derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address