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•••• W••••• G•••••••••
- U•• F•••••••• S••••••• I••• wirehouse currentsince Sep 22, 2008 · Los Angeles, Ca
- L••••• B••••••• I••• unclassifiedAug 19, 2002 to Sep 30, 2008 · Los Angeles, Ca
- M••••• S•••••• • C•• L•• unclassifiedJul 8, 1997 to Aug 28, 2002 · Los Angeles, Ca
- L••••• B••••••• I••• to U•• F•••••••• S••••••• I•••left Sep 30, 2008, registered Sep 22, 2008 (-8 days) · Other
- M••••• S•••••• • C•• L•• to L••••• B••••••• I•••left Aug 28, 2002, registered Aug 19, 2002 (-9 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
- Wirehousederived
- Years in industry
- 33derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address