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.
M••••• S•• W•••••
- D•••••••• A••••••• S•••••••• L•• BD affiliated currentsince Sep 5, 2023 · South Jordan, Ut
- A••••••• F•••••••• N•••••• A••••••• S•••••••• L•• formerSep 25, 2014 to Jun 25, 2018 · Los Angeles, Ca
- S••••••••• A•••••• A•••••••• I••• formerJun 30, 2010 to Sep 23, 2014 · Calabasas, Ca
- A•• A•••••• S••••••• L•• unclassifiedDec 11, 2009 to Apr 29, 2010 · Agoura Hills, Ca
- A••••••• F•••••••• N•••••• A••••••• S•••••••• L•• to D•••••••• A••••••• S•••••••• L••left Jun 25, 2018, registered Sep 5, 2023 (1898 days) · RIA to affiliated broker-dealer or bank · moved with a team
- S••••••••• A•••••• A•••••••• I••• to A••••••• F•••••••• N•••••• A••••••• S•••••••• L••left Sep 23, 2014, registered Sep 25, 2014 (2 days) · Other
- A•• A•••••• S••••••• L•• to S••••••••• A•••••• A•••••••• I•••left Apr 29, 2010, registered Jun 30, 2010 (62 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