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.
B••••• A••••
- V•••• F•••••••• A•••••••• I••• BD affiliated currentsince Mar 18, 2014 · Glendale, Ca
- J••• M••••• S••••••••• L•• wirehouseOct 1, 2012 to Dec 17, 2013 · Los Angeles, Ca
- C•••• I••••••••• S••••••• C•••• formerSep 9, 2010 to Oct 1, 2012 · Inglewood, Ca
- A•••• C••••••• L••• unclassifiedMay 18, 2010 to Jul 8, 2010 · Scottsdale, Az
- E••••• S••••••••• C••••••••• unclassifiedNov 23, 2009 to May 13, 2010 · Los Angeles, Ca
- F•••• A••••• S••••••••• I••• formerJun 2, 2006 to Aug 31, 2009 · Glendale, Ca
- I••••••••• F•••••••• G••••• L•• BD affiliatedFeb 15, 2006 to May 26, 2006 · Los Angeles, Ca
- P•••• S••••••••• L•• no RAUMJan 30, 2001 to Jan 31, 2006 · Los Angeles, Ca
- J••• M••••• S••••••••• L•• to V•••• F•••••••• A•••••••• I•••left Dec 17, 2013, registered Mar 18, 2014 (91 days) · Other
- C•••• I••••••••• S••••••• C•••• to J••• M••••• S••••••••• L••left Oct 1, 2012, registered Oct 1, 2012 (0 days) · corporate re-registration, not a move
- A•••• C••••••• L••• to C•••• I••••••••• S••••••• C••••left Jul 8, 2010, registered Sep 9, 2010 (63 days) · Other
- E••••• S••••••••• C••••••••• to A•••• C••••••• L•••left May 13, 2010, registered May 18, 2010 (5 days) · Other
- F•••• A••••• S••••••••• I••• to E••••• S••••••••• C•••••••••left Aug 31, 2009, registered Nov 23, 2009 (84 days) · Other
- I••••••••• F•••••••• G••••• L•• to F•••• A••••• S••••••••• I•••left May 26, 2006, registered Jun 2, 2006 (7 days) · Other
- P•••• S••••••••• L•• to I••••••••• F•••••••• G••••• L••left Jan 31, 2006, registered Feb 15, 2006 (15 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
- 31derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address