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.
J••••• S•••••• S•••••••
- W•••• F•••• A••••••• wirehouse currentsince Jul 1, 2014 · Encino, Ca
- U••• B•••••• I••••••••• I••• formerMay 4, 2011 to Jul 2, 2014 · Pasadena, Ca
- U•••• F•••••••• S••••••• G••••• I••• unclassifiedJun 19, 2007 to May 19, 2011 · Brea, Ca
- C••••• A•••••• N••••••• L•• formerJun 29, 2005 to Jul 3, 2007 · Ontario, Ca
- U••• B•••••• I••••••••• I••• to W•••• F•••• A•••••••left Jul 2, 2014, registered Jul 1, 2014 (-1 days) · Other
- U•••• F•••••••• S••••••• G••••• I••• to U••• B•••••• I••••••••• I•••left May 19, 2011, registered May 4, 2011 (-15 days) · Other
- C••••• A•••••• N••••••• L•• to U•••• F•••••••• S••••••• G••••• I•••left Jul 3, 2007, registered Jun 19, 2007 (-14 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
- 32derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address