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••••• C••••••••• H••••
- U•• F•••••••• S••••••• I••• wirehouse currentsince Dec 12, 2008 · Los Angeles, Ca
- C•••••••• G••••• M•••••• I••• BD affiliatedAug 5, 2003 to Dec 20, 2008 · Los Angeles, Ca
- C••••• S••••• S••••••••• •••• L•• formerJan 17, 2003 to Aug 7, 2003 · San Francisco, Ca
- P••••••• L•• unclassifiedFeb 14, 2001 to Jan 17, 2003 · San Francisco, Ca
- C•••••••• G••••• M•••••• I••• to U•• F•••••••• S••••••• I•••left Dec 20, 2008, registered Dec 12, 2008 (-8 days) · Other
- C••••• S••••• S••••••••• •••• L•• to C•••••••• G••••• M•••••• I•••left Aug 7, 2003, registered Aug 5, 2003 (-2 days) · Other
- P••••••• L•• to C••••• S••••• S••••••••• •••• L••left Jan 17, 2003, registered Jan 17, 2003 (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
- Wirehousederived
- Years in industry
- 32derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address