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.
P•••• A••• R••••••••
- M••••• S•••••• wirehouse currentsince Jan 31, 2020 · Woodland Hills, Ca
- W•••• F•••• I••••••••• L•• unclassifiedJun 29, 2006 to Oct 12, 2006 · Northridge, Ca
- J••• M••••• S••••••••• L•• wirehouseNov 11, 2002 to Jul 27, 2006 · Los Angeles, Ca
- D••••••• B••• S••••••••• I••• no RAUMAug 1, 2001 to Oct 30, 2002 · Los Angeles, Ca
- W•••• F•••• I••••••••• L•• to M••••• S••••••left Oct 12, 2006, registered Jan 31, 2020 (4859 days) · Other
- J••• M••••• S••••••••• L•• to W•••• F•••• I••••••••• L••left Jul 27, 2006, registered Jun 29, 2006 (-28 days) · Other
- D••••••• B••• S••••••••• I••• to J••• M••••• S••••••••• L••left Oct 30, 2002, registered Nov 11, 2002 (12 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