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••• BD affiliated currentsince Dec 3, 2024 · Los Angeles, Ca
- S••••• W••••• M••••••••• unclassifiedApr 4, 2006 to Apr 20, 2007 · B•••••• Hills, Ca
- B•••••• I••••••••• A••••••• L•• formerNov 12, 2002 to Jan 7, 2025 · B•••••• Hills, Ca
- L••• A••••••• formerJun 8, 2001 to Dec 31, 2002 · B•••••• Hills, Ca
- B•••••• I••••••••• A••••••• L•• to S••••• W••••• M•••••••••left Jan 7, 2025, registered Apr 4, 2006 (-6853 days) · Other
- S••••• W••••• M••••••••• to S•••left Apr 20, 2007, registered Dec 3, 2024 (6437 days) · Other
- L••• A••••••• to B•••••• I••••••••• A••••••• L••left Dec 31, 2002, registered Nov 12, 2002 (-49 days) · Other
- C•••• J••• P•••• left B•••••• I••••••••• A••••••• L•• for S••••• W••••• M••••••••• (registered 2006-04-04)Jan 7, 2025 · Advisor changed firm · fact
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
- 34derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address