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.
V••••• R•••••• S•••••
- D••• D••••••• • C•• independent RIA currentsince Feb 12, 2016 · Claremont, Ca
- D••••••• B••• S••••••••• I••• no RAUMJun 2, 2014 to Jan 28, 2016 · Los Angeles, Ca
- U•• F•••••••• S••••••• I••• wirehouseOct 9, 2013 to Jan 8, 2014 · Newport Beach, Ca
- D••••••• B••• S••••••••• I••• to D••• D••••••• • C••left Jan 28, 2016, registered Feb 12, 2016 (15 days) · Other
- U•• F•••••••• S••••••• I••• to D••••••• B••• S••••••••• I•••left Jan 8, 2014, registered Jun 2, 2014 (145 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
- 12derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address