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•••• C••••••
- S•••••• N••••••• • C••••••• I••••••••• national BD currentsince Jan 29, 2015 · Los Angeles, Ca
- O••••••••• • C•• I••• BD affiliatedJan 26, 2009 to Feb 4, 2015 · Los Angeles, Ca
- M••••• S•••••• • C•• L•• unclassifiedJun 1, 2007 to Feb 9, 2009 · Santa Monica, Ca
- R•• C•••••• M••••••• L•• national BDMar 22, 2006 to Jun 12, 2007 · Beverly Hills, Ca
- M••• S•••• • C••• L••• unclassifiedJan 28, 2004 to Mar 22, 2006 · Beverly Hills, Ca
- O••••••••• • C•• I••• to S•••••• N••••••• • C••••••• I•••••••••left Feb 4, 2015, registered Jan 29, 2015 (-6 days) · Other · moved with a team
- M••••• S•••••• • C•• L•• to O••••••••• • C•• I•••left Feb 9, 2009, registered Jan 26, 2009 (-14 days) · Other
- R•• C•••••• M••••••• L•• to M••••• S•••••• • C•• L••left Jun 12, 2007, registered Jun 1, 2007 (-11 days) · Other
- M••• S•••• • C••• L••• to R•• C•••••• M••••••• L••left Mar 22, 2006, registered Mar 22, 2006 (0 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
- 32derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address