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.
R••• A•••••• W••••
- L•• F•••••••• L•• BD affiliated currentsince Jun 29, 2020 · Thousand Oaks, Ca
- C•••••• A••••••• BD affiliatedJun 5, 2012 to Jul 24, 2020 · Woodland Hills, Ca
- L•••••• I••••••••• independent RIAJun 1, 2012 to Jul 24, 2020 · Woodland Hills, Ca
- C••••••••• A•••••••• I•• formerAug 13, 2009 to Jun 1, 2012 · Woodland Hills, Ca
- C•••••• A••••••• to L•• F•••••••• L••left Jul 24, 2020, registered Jun 29, 2020 (-25 days) · Affiliated broker-dealer or bank to another · moved with a team
- L•••••• I••••••••• to C•••••• A•••••••left Jul 24, 2020, registered Jun 5, 2012 (-2971 days) · Other · moved with a team
- C••••••••• A•••••••• I•• to L•••••• I•••••••••left Jun 1, 2012, registered Jun 1, 2012 (0 days) · corporate re-registration, not a move
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
- 30derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address