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.
L•••• M• S•••••••
- S•••••• N••••••• • C••••••• I••••••••• national BD currentsince Jan 14, 2008 · Oxnard, Ca
- A• G• E•••••• • S•••• I••• unclassifiedMar 21, 2003 to Jan 16, 2008 · Oxnard, Ca
- M••••• S•••••• D• I••• unclassifiedNov 2, 1998 to Mar 25, 2003 · Ventura, Ca
- A• G• E•••••• • S•••• I••• to S•••••• N••••••• • C••••••• I•••••••••left Jan 16, 2008, registered Jan 14, 2008 (-2 days) · Other
- M••••• S•••••• D• I••• to A• G• E•••••• • S•••• I•••left Mar 25, 2003, registered Mar 21, 2003 (-4 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
- National broker-dealer RIAderived
- Years in industry
- 35derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address