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.
E••• B•••••• R•••••
- G••••• S•••• W••••• M••••••••• L•• independent RIA currentsince Aug 18, 2016 · Pasadena, Ca
- L••• A••••• F••••••••• L•• unclassifiedFeb 8, 2016 to Oct 20, 2016 · Pasadena, Ca
- L••• A••••• F••••••••• L•• unclassifiedJul 15, 2014 to Dec 31, 2015 · Pasadena, Ca
- W•••••• • R••• formerSep 12, 2012 to Jul 1, 2014 · Torrance, Ca
- C••••••••• L•• unclassifiedMay 4, 2009 to Dec 31, 2010 · Canyon L•••, Ca
- L••• A••••• F••••••••• L•• to G••••• S•••• W••••• M••••••••• L••left Oct 20, 2016, registered Aug 18, 2016 (-63 days) · Other
- W•••••• • R••• to L••• A••••• F••••••••• L••left Jul 1, 2014, registered Jul 15, 2014 (14 days) · Other
- C••••••••• L•• to W•••••• • R•••left Dec 31, 2010, registered Sep 12, 2012 (621 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
- 36derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address