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••••• S•••••••
- S••••••• W••••• M••••••••• L•• state registered currentsince Jan 9, 2019 · Thousand Oaks, Ca
- U••• B•••••• A•••••••• L•• BD affiliatedSep 30, 2016 to Jan 8, 2019 · Encino, Ca
- M••••• S•••••• wirehouseMar 8, 2013 to Oct 12, 2016 · Woodland Hills, Ca
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseFeb 4, 2011 to Mar 11, 2013 · Westlake Village, Ca
- W•••• F•••• A••••••• wirehouseJul 16, 2009 to Jan 13, 2011 · Austin, Tx
- C•••••• S••••• • C••• I••• national BDJan 13, 2003 to Jul 9, 2009 · Encino, Ca
- U••• B•••••• A•••••••• L•• to S••••••• W••••• M••••••••• L••left Jan 8, 2019, registered Jan 9, 2019 (1 days) · Affiliated broker-dealer or bank to a state-registered adviser
- M••••• S•••••• to U••• B•••••• A•••••••• L••left Oct 12, 2016, registered Sep 30, 2016 (-12 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to M••••• S••••••left Mar 11, 2013, registered Mar 8, 2013 (-3 days) · Wirehouse to wirehouse
- W•••• F•••• A••••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Jan 13, 2011, registered Feb 4, 2011 (22 days) · Wirehouse to wirehouse
- C•••••• S••••• • C••• I••• to W•••• F•••• A•••••••left Jul 9, 2009, registered Jul 16, 2009 (7 days) · Affiliated broker-dealer or bank to wirehouse
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
- STATE REGISTEREDderived
- Years in industry
- 31derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address