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.
D•••• C••••••• S••••
- W•••••• S••••••••• I••• BD affiliated currentsince Sep 1, 2022 · Pasadena, Ca
- H•••••• S••••••••• I••• BD affiliatedSep 1, 2009 to Sep 30, 2022 · Sherman Oaks, Ca
- M••• S•••• • C••• L••• unclassifiedJan 28, 2004 to Dec 31, 2008 · Beverly Hills, Ca
- H•••••• S••••••••• I••• to W•••••• S••••••••• I•••left Sep 30, 2022, registered Sep 1, 2022 (-29 days) · Affiliated broker-dealer or bank to another
- M••• S•••• • C••• L••• to H•••••• S••••••••• I•••left Dec 31, 2008, registered Sep 1, 2009 (244 days) · corporate re-registration, not a move
- D•••• C••••••• S•••• left H•••••• S••••••••• I••• for W•••••• S••••••••• I••• (registered 2022-09-01)Sep 30, 2022 · 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
- 33derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address