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.
H••••• P•••••• D••••••
- W•••• F•••• A••••••• wirehouse currentsince Sep 9, 2019 · Woodland Hills, Ca
- M••••• S•••••• wirehouseOct 19, 2015 to Nov 10, 2017 · Long Beach, Ca
- R•• C•••••• M••••••• L•• national BDFeb 25, 2008 to Sep 28, 2015 · Seal Beach, Ca
- R•• C•••••• M••••••• L•• national BDMay 28, 2002 to Jan 5, 2005 · Long Beach, Ca
- M••••• S•••••• to W•••• F•••• A•••••••left Nov 10, 2017, registered Sep 9, 2019 (668 days) · Wirehouse to wirehouse · moved with a team
- R•• C•••••• M••••••• L•• to M••••• S••••••left Sep 28, 2015, registered Oct 19, 2015 (21 days) · Affiliated broker-dealer or bank to wirehouse
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
- 27derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address