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••••• K• S••••
- M••••• S•••••• wirehouse currentsince May 24, 2023 · Beverly Hills, Ca
- W•••• F•••• A••••••• wirehouseMar 27, 2018 to Apr 9, 2019 · Woodland Hills, Ca
- S••••• B•••• I••••••••• A•••••••• L•• formerDec 5, 2017 to Feb 15, 2018 · Indianapolis, In
- W•••• F•••• A••••••• wirehouseMay 12, 2015 to May 8, 2017 · Woodland Hills, Ca
- S••••• B•••• I••••••••• A•••••••• L•• formerMar 3, 2014 to Jun 2, 2015 · Indianapolis, In
- C•••••• S••••• • C••• I••• national BDAug 23, 2007 to Dec 31, 2010 · Encino, Ca
- U••• B•••••• A•••••••• L•• BD affiliatedSep 12, 2006 to Aug 6, 2007 · Los Angeles, Ca
- C•••••• S••••• • C••• I••• national BDMay 25, 2005 to Sep 19, 2006 · Encino, Ca
- C•••••• S••••• • C••• I••• national BDMar 20, 2003 to Nov 22, 2004 · Valencia, Ca
- W•••• F•••• A••••••• to M••••• S••••••left Apr 9, 2019, registered May 24, 2023 (1506 days) · Wirehouse to wirehouse · moved with a team
- S••••• B•••• I••••••••• A•••••••• L•• to W•••• F•••• A•••••••left Feb 15, 2018, registered Mar 27, 2018 (40 days) · Other
- W•••• F•••• A••••••• to S••••• B•••• I••••••••• A•••••••• L••left May 8, 2017, registered Dec 5, 2017 (211 days) · Other
- S••••• B•••• I••••••••• A•••••••• L•• to W•••• F•••• A•••••••left Jun 2, 2015, registered May 12, 2015 (-21 days) · Other
- C•••••• S••••• • C••• I••• to S••••• B•••• I••••••••• A•••••••• L••left Dec 31, 2010, registered Mar 3, 2014 (1158 days) · Other
- U••• B•••••• A•••••••• L•• to C•••••• S••••• • C••• I•••left Aug 6, 2007, registered Aug 23, 2007 (17 days) · Other
- C•••••• S••••• • C••• I••• to U••• B•••••• A•••••••• L••left Sep 19, 2006, registered Sep 12, 2006 (-7 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
- Wirehousederived
- Years in industry
- 31derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address