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••••• C•••• R••••
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliated currentsince Mar 5, 2012 · Encino, Ca
- N•• E•••••• S••••••••• C••••••••• formerNov 9, 2010 to Jan 10, 2012 · Woodland Hills, Ca
- W•••• F•••• A••••••• wirehouseDec 23, 2008 to Oct 8, 2010 · Beverly Hills, Ca
- U•• F•••••••• S••••••• I••• wirehouseJan 16, 2006 to Dec 26, 2008 · Sherman Oaks, Ca
- N•• E•••••• S••••••••• C••••••••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••left Jan 10, 2012, registered Mar 5, 2012 (55 days) · Other
- W•••• F•••• A••••••• to N•• E•••••• S••••••••• C•••••••••left Oct 8, 2010, registered Nov 9, 2010 (32 days) · Other
- U•• F•••••••• S••••••• I••• to W•••• F•••• A•••••••left Dec 26, 2008, registered Dec 23, 2008 (-3 days) · Wirehouse to wirehouse
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
- 20derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address