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.
S•••••• C•••• M•••
- W•••• I••••••••• A•••••••• L•• other currentsince Jun 2, 2017 · Lincroft, Nj
- P•••••• A••••••••• A••••••• G••••• L•• formerJun 24, 2011 to Sep 5, 2013 · Pasadena, Ca
- B••••• A••••••• L•• formerAug 18, 2009 to Jun 5, 2017 · Pasadena, Ca
- N•• A•••••••• I••• unclassifiedSep 8, 2008 to Oct 13, 2009 · Newport, Ca
- U•• A••••••• institutionalJan 26, 2007 to Sep 10, 2008 · Irvine, Ca
- U•• S••••••••• I••• no RAUMJun 1, 2004 to Sep 10, 2008 · Glastonbury, Ct
- A••••••••• S••••••••• C•••• unclassifiedMay 17, 2002 to Aug 10, 2004 · Orange, Ca
- A••••••••• P••••••• I••••••••• A••••••• I•• unclassifiedMay 7, 2002 to Aug 13, 2004 · Orange, Ca
- B••••• A••••••• L•• to P•••••• A••••••••• A••••••• G••••• L••left Jun 5, 2017, registered Jun 24, 2011 (-2173 days) · Other
- P•••••• A••••••••• A••••••• G••••• L•• to W•••• I••••••••• A•••••••• L••left Sep 5, 2013, registered Jun 2, 2017 (1366 days) · Other
- N•• A•••••••• I••• to B••••• A••••••• L••left Oct 13, 2009, registered Aug 18, 2009 (-56 days) · Other
- U•• A••••••• to N•• A•••••••• I•••left Sep 10, 2008, registered Sep 8, 2008 (-2 days) · Other
- U•• S••••••••• I••• to U•• A•••••••left Sep 10, 2008, registered Jan 26, 2007 (-593 days) · Other
- A••••••••• P••••••• I••••••••• A••••••• I•• to A••••••••• S••••••••• C••••left Aug 13, 2004, registered May 17, 2002 (-819 days) · Other
- A••••••••• S••••••••• C•••• to U•• S••••••••• I•••left Aug 10, 2004, registered Jun 1, 2004 (-70 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
- Other adviserderived
- Years in industry
- 31derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address