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.
L•••• Y•••
- B•••• C••• C••••• state registered currentsince Jan 8, 2018 · Las Vegas, Nv
- A••••••• F•••••••• A•••••••• L•• BD affiliatedAug 17, 2018 to Oct 8, 2018 · Malibus, Ca
- W•••••• • R••• formerMay 27, 2015 to Aug 9, 2017 · Thousand Oaks, Ca
- W•••• F•••• A••••••• wirehouseMar 7, 2013 to May 27, 2015 · El Segundo, Ca
- B••• O• A•••••• I••••••••• S•••••••• I••• unclassifiedApr 6, 2004 to Apr 26, 2005 · Westlake , Ca
- C•••••• S••••• • C••• I••• national BDJul 11, 2003 to Oct 9, 2003 · Woodland Hills, Ca
- S•••••••• A••••••• L•• national BDJan 8, 2000 to May 2, 2003 · Los Angeles , Ca
- A••••••• F•••••••• A•••••••• L•• to no registered destinationleft Oct 8, 2018 · Departure, no registered destination
- W•••••• • R••• to B•••• C••• C•••••left Aug 9, 2017, registered Jan 8, 2018 (152 days) · Other
- W•••• F•••• A••••••• to W•••••• • R•••left May 27, 2015, registered May 27, 2015 (0 days) · Other · moved with a team
- B••• O• A•••••• I••••••••• S•••••••• I••• to W•••• F•••• A•••••••left Apr 26, 2005, registered Mar 7, 2013 (2872 days) · Other
- C•••••• S••••• • C••• I••• to B••• O• A•••••• I••••••••• S•••••••• I•••left Oct 9, 2003, registered Apr 6, 2004 (180 days) · Other
- S•••••••• A••••••• L•• to C•••••• S••••• • C••• I•••left May 2, 2003, registered Jul 11, 2003 (70 days) · Affiliated broker-dealer or bank to another
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
- 30derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address