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.
W•••••• M•••••••• F•••••••
- D••• D••••••• • C•• independent RIA currentsince Nov 25, 2013 · Pasadena, Ca
- C•••••• W••••• • C•• formerNov 4, 2013 to Nov 25, 2013 · Pasadena, Ca
- C••••••• W••••• • C•• formerMar 12, 2013 to Nov 4, 2013 · Pasadena, Ca
- M•••••• N••• I••••••••• A••••••• formerAug 8, 2008 to Mar 4, 2013 · Pasadena, Ca
- C••••••••• C•••••• L•• unclassifiedJul 2, 2007 to Jul 31, 2008 · Los Angeles, Ca
- U•• F•••••••• S••••••• I••• wirehouseDec 6, 2002 to Oct 20, 2003 · Pasedena, Ca
- C•••••• W••••• • C•• to D••• D••••••• • C••left Nov 25, 2013, registered Nov 25, 2013 (0 days) · corporate re-registration, not a move
- C••••••• W••••• • C•• to C•••••• W••••• • C••left Nov 4, 2013, registered Nov 4, 2013 (0 days) · corporate re-registration, not a move
- M•••••• N••• I••••••••• A••••••• to C••••••• W••••• • C••left Mar 4, 2013, registered Mar 12, 2013 (8 days) · Other
- C••••••••• C•••••• L•• to M•••••• N••• I••••••••• A•••••••left Jul 31, 2008, registered Aug 8, 2008 (8 days) · Other
- U•• F•••••••• S••••••• I••• to C••••••••• C•••••• L••left Oct 20, 2003, registered Jul 2, 2007 (1351 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
- Independent wealth managerderived
- Years in industry
- 23derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address