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•••••• R••• G•••••••••
- C•••••• C••••• G••••• I••• no RAUM currentsince May 9, 2014 · Los Angeles, Ca
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseOct 23, 2009 to Feb 18, 2010 · Boston, Ma
- B••• O• A•••••• I••••••••• S•••••••• I••• unclassifiedJan 5, 2009 to Oct 23, 2009 · Newport Beach, Ca
- B••• A•••••••• L•• formerJan 20, 2005 to Dec 31, 2008 · Los Angeles, Ca
- B•••• D••••••••• L•• unclassifiedNov 2, 2004 to Jan 20, 2005 · Los Angeles, Ca
- U•• F•••••••• S••••••• I••• wirehouseApr 19, 1999 to Jun 24, 2004 · Beverly Hills, Ca
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to C•••••• C••••• G••••• I•••left Feb 18, 2010, registered May 9, 2014 (1541 days) · Wirehouse to a newly registered adviser (no RAUM reported yet)
- B••• O• A•••••• I••••••••• S•••••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Oct 23, 2009, registered Oct 23, 2009 (0 days) · corporate re-registration, not a move
- B••• A•••••••• L•• to B••• O• A•••••• I••••••••• S•••••••• I•••left Dec 31, 2008, registered Jan 5, 2009 (5 days) · Other
- B•••• D••••••••• L•• to B••• A•••••••• L••left Jan 20, 2005, registered Jan 20, 2005 (0 days) · Other
- U•• F•••••••• S••••••• I••• to B•••• D••••••••• L••left Jun 24, 2004, registered Nov 2, 2004 (131 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
- No RAUM reportedderived
- Years in industry
- 28derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address