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•••••• A•••••••• N•••••
- Z•• C••••••• L•• state registered currentsince Apr 8, 2025 · New York, Ny
- A•••• C••••••• L••• unclassifiedJun 2, 2011 to Mar 12, 2015 · Scottsdale, Az
- N•• C•••••• A•••• M••••••••• I••• formerFeb 4, 2011 to Oct 4, 2011 · Beverly Hills, Ca
- N•• C•••••• A•••• M••••••••• I••• formerJun 29, 2010 to Dec 31, 2010 · Beverly Hills, Ca
- M••••• S•••••• wirehouseJun 1, 2009 to Jun 24, 2009 · Newport Beach, Ca
- M••••• S•••••• • C•• L•• unclassifiedApr 2, 2007 to Jun 1, 2009 · Newport Beach, Ca
- M••••• S•••••• D• I••• unclassifiedJul 8, 1997 to Apr 2, 2007 · Las Vegas, Nv
- A•••• C••••••• L••• to Z•• C••••••• L••left Mar 12, 2015, registered Apr 8, 2025 (3680 days) · Other
- N•• C•••••• A•••• M••••••••• I••• to A•••• C••••••• L•••left Oct 4, 2011, registered Jun 2, 2011 (-124 days) · Other
- M••••• S•••••• to N•• C•••••• A•••• M••••••••• I•••left Jun 24, 2009, registered Jun 29, 2010 (370 days) · Other
- M••••• S•••••• • C•• L•• to M••••• S••••••left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
- 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
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