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.
A••• L•••••• T••••
- A••••••••• F•••••••• S•••••••• L•• national BD currentsince Aug 14, 2015 · Los Angeles, Ca
- J•• C•••••• A•••••••• L•• formerApr 11, 2012 to Aug 14, 2015 · Tampa, Fl
- P•••••• I••••••••• C••••••• L•• formerFeb 12, 2008 to Apr 11, 2012 · Los Angeles, Ca
- M•••••••• F•••••••• S•••••••• I••• unclassifiedSep 17, 2003 to Dec 31, 2006 · Los Angeles, Ca
- J•• C•••••• A•••••••• L•• to A••••••••• F•••••••• S•••••••• L••left Aug 14, 2015, registered Aug 14, 2015 (0 days) · Other · moved with a team
- P•••••• I••••••••• C••••••• L•• to J•• C•••••• A•••••••• L••left Apr 11, 2012, registered Apr 11, 2012 (0 days) · Other
- M•••••••• F•••••••• S•••••••• I••• to P•••••• I••••••••• C••••••• L••left Dec 31, 2006, registered Feb 12, 2008 (408 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
- National broker-dealer RIAderived
- Years in industry
- 33derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address