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.
T••• P••••• D••••••••
- Y••• P•••••• C••••• G••••• I••• independent RIA currentsince Mar 13, 2018 · Huntington Beach, Ca
- A••••••••• I••• BD affiliatedJul 31, 2008 to Jul 5, 2018 · Encino, Ca
- G••••••• F•••••••• A•••• M••••••••• I•• unclassifiedMar 12, 2008 to Jul 31, 2008 · Encino, Ca
- A••••••••• I••• to Y••• P•••••• C••••• G••••• I•••left Jul 5, 2018, registered Mar 13, 2018 (-114 days) · Affiliated broker-dealer or bank to a newly registered adviser
- G••••••• F•••••••• A•••• M••••••••• I•• to A••••••••• I•••left Jul 31, 2008, registered Jul 31, 2008 (0 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
- 18derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address