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••• P•••••• R••••••••
- V•••• F•••••••• A•••••••• I••• BD affiliated currentsince Aug 10, 2011 · Glendale, Ca
- L•• F•••••••• L•• BD affiliatedMay 12, 2009 to Jul 12, 2010 · San Diego, Ca
- W•••••• S••••••••• I••• BD affiliatedJun 1, 2006 to May 21, 2009 · Los Angeles, Ca
- L•• F•••••••• L•• to V•••• F•••••••• A•••••••• I•••left Jul 12, 2010, registered Aug 10, 2011 (394 days) · Other
- W•••••• S••••••••• I••• to L•• F•••••••• L••left May 21, 2009, registered May 12, 2009 (-9 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 35derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address