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.
Y•••• N•• L••
- C••••• I••••••••• A••••••• L•• BD affiliated currentsince Jun 29, 2023 · Los Angeles, Ca
- T•••• S••••• S••••••••• I••• formerMar 16, 2007 to Sep 3, 2013 · Torrance, Ca
- C••••• I••••••••• S••••••• L•• formerJan 4, 2007 to Feb 27, 2007 · Los Angeles, Ca
- T•••• S••••• S••••••••• I••• formerJul 29, 2004 to Jan 11, 2007 · Los Angeles, Ca
- S••••••• I••••••••• I••• formerJun 21, 2004 to Jul 23, 2004 · Los Angles, Ca
- C••••• I••••••••• A••••••• L•• BD affiliatedApr 22, 2003 to Dec 31, 2003 · Los Angeles, Ca
- E•••••••• A•••••••• L•• national BDMay 9, 2000 to Sep 19, 2002 · Los Angeles, Ca
- T•••• S••••• S••••••••• I••• to C••••• I••••••••• A••••••• L••left Sep 3, 2013, registered Jun 29, 2023 (3586 days) · corporate re-registration, not a move
- C••••• I••••••••• S••••••• L•• to T•••• S••••• S••••••••• I•••left Feb 27, 2007, registered Mar 16, 2007 (17 days) · Other
- T•••• S••••• S••••••••• I••• to C••••• I••••••••• S••••••• L••left Jan 11, 2007, registered Jan 4, 2007 (-7 days) · Other
- S••••••• I••••••••• I••• to T•••• S••••• S••••••••• I•••left Jul 23, 2004, registered Jul 29, 2004 (6 days) · Other
- C••••• I••••••••• A••••••• L•• to S••••••• I••••••••• I•••left Dec 31, 2003, registered Jun 21, 2004 (173 days) · Other
- E•••••••• A•••••••• L•• to C••••• I••••••••• A••••••• L••left Sep 19, 2002, registered Apr 22, 2003 (215 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