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.
R••••• L•• B•••••
- H•••••• T••••••• • K•••• L•• independent RIA currentsince Apr 7, 2009 · Encino, Ca
- N••••••••• S••••••••• L•• no RAUMAug 1, 2008 to Apr 7, 2009 · Portland, Or
- 1••• C•••••• M••••••••• C•••••• unclassifiedNov 15, 2006 to Aug 1, 2008 · Woodland Hills, Ca
- N••••••••• S••••••••• L•• to H•••••• T••••••• • K•••• L••left Apr 7, 2009, registered Apr 7, 2009 (0 days) · Other
- 1••• C•••••• M••••••••• C•••••• to N••••••••• S••••••••• L••left Aug 1, 2008, registered Aug 1, 2008 (0 days) · corporate re-registration, not a move
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
- 26derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address