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.
D•••••• M• P••••
- W•••••• S••••••••• I••• BD affiliated currentsince Feb 4, 2015 · Pasadena, Ca
- S•••••• N••••••• • C••••••• I••••••••• national BDFeb 13, 2009 to Jan 23, 2015 · Newport Beach, Ca
- M••••• S•••••• • C•• L•• unclassifiedApr 2, 2007 to Feb 17, 2009 · Santa Monica, Ca
- M••••• S•••••• D• I••• unclassifiedMar 22, 2005 to Apr 2, 2007 · Irvine, Ca
- C•••••••• G••••• M•••••• I••• BD affiliatedJul 6, 2004 to Apr 12, 2005 · Irvine, Ca
- M••••• S•••••• D• I••• unclassifiedNov 2, 1998 to Jul 9, 2004 · Beverly Hillls, Ca
- S•••••• N••••••• • C••••••• I••••••••• to W•••••• S••••••••• I•••left Jan 23, 2015, registered Feb 4, 2015 (12 days) · Other
- M••••• S•••••• • C•• L•• to S•••••• N••••••• • C••••••• I•••••••••left Feb 17, 2009, registered Feb 13, 2009 (-4 days) · Other
- M••••• S•••••• D• I••• to M••••• S•••••• • C•• L••left Apr 2, 2007, registered Apr 2, 2007 (0 days) · corporate re-registration, not a move
- C•••••••• G••••• M•••••• I••• to M••••• S•••••• D• I•••left Apr 12, 2005, registered Mar 22, 2005 (-21 days) · Other
- M••••• S•••••• D• I••• to C•••••••• G••••• M•••••• I•••left Jul 9, 2004, registered Jul 6, 2004 (-3 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 32derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address