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.
M•••••• T••••• V•• K•••••
- S•••••••• I••••••••• A•••••••• L•• independent RIA currentsince May 11, 2012 · Los Angeles, Ca
- S••• BD affiliated currentsince Feb 23, 2010 · Los Angeles, Ca
- E•••••••• A•••••••• L•• national BDOct 14, 2004 to Nov 9, 2007 · Los Angeles, Ca
- W••• I••••••••• I••• unclassifiedJan 7, 2003 to May 6, 2003 · Beverly Hills, Ca
- W•••••• • R••• formerMar 8, 2002 to Oct 4, 2002 · Torrance, Ca
- E•••••••• A•••••••• L•• to S•••left Nov 9, 2007, registered Feb 23, 2010 (837 days) · Other
- W••• I••••••••• I••• to E•••••••• A•••••••• L••left May 6, 2003, registered Oct 14, 2004 (527 days) · Other
- W•••••• • R••• to W••• I••••••••• I•••left Oct 4, 2002, registered Jan 7, 2003 (95 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