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.
T••••• J••••• C•••••••••
- C••••••••• W••••• M••••••••• L•• former currentsince Oct 23, 2018 · Beverly Hills, Ca
- W•• S••••••••• L•• state registeredNov 8, 2010 to Sep 30, 2013 · Los Angeles, Ca
- V••••• C•••••• W••••• independent RIANov 5, 2010 to May 30, 2018 · Los Angeles, Ca
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseOct 14, 2005 to Nov 8, 2010 · Beverly Hills, Ca
- M••••• S•••••• D• I••• unclassifiedMar 18, 2003 to Aug 29, 2005 · Santa Monica, Ca
- V••••• C•••••• W••••• to W•• S••••••••• L••left May 30, 2018, registered Nov 8, 2010 (-2760 days) · RIA to a state-registered adviser
- W•• S••••••••• L•• to C••••••••• W••••• M••••••••• L••left Sep 30, 2013, registered Oct 23, 2018 (1849 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to V••••• C•••••• W•••••left Nov 8, 2010, registered Nov 5, 2010 (-3 days) · Other
- M••••• S•••••• D• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Aug 29, 2005, registered Oct 14, 2005 (46 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
- Former SEC-registered adviserderived
- Years in industry
- 31derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address