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.
L••• S• B••••
- N••••••••• M••••• I••••••••• S••••••••• no RAUM currentsince Jul 18, 2005 · Winnetka, Ca
- A••••••••• P••••••• I••••••••• A••••••• I•• unclassifiedMay 17, 2004 to Nov 15, 2004 · Westlake Village, Ca
- C••••••••• F•••••••• S••••••• formerSep 1, 1999 to Dec 2, 2002 · Burbank, Ca
- A••••••••• P••••••• I••••••••• A••••••• I•• to N••••••••• M••••• I••••••••• S•••••••••left Nov 15, 2004, registered Jul 18, 2005 (245 days) · Other
- C••••••••• F•••••••• S••••••• to A••••••••• P••••••• I••••••••• A••••••• I••left Dec 2, 2002, registered May 17, 2004 (532 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
- 31derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address