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.
C•••••• J• H•••
- L•• F•••••••• L•• BD affiliated currentsince Feb 14, 2018 · Valencia, Ca
- I••••• F•••••••• C••••••••• formerSep 16, 2013 to Feb 14, 2018 · Burbank, Ca
- C••• F•••••••• S•••••••• L••• formerSep 8, 2011 to Oct 2, 2013 · North Hollywood, Ca
- B••••••• I••••••••• S•••••••• I••• ••••• formerJan 16, 2009 to Sep 6, 2011 · Torrance, Ca
- B••• O• A•••••• I••••••••• S•••••••• I••• unclassifiedMay 1, 2002 to Jul 12, 2007 · Pasadena, Ca
- I••••• F•••••••• C••••••••• to L•• F•••••••• L••left Feb 14, 2018, registered Feb 14, 2018 (0 days) · corporate re-registration, not a move
- C••• F•••••••• S•••••••• L••• to I••••• F•••••••• C•••••••••left Oct 2, 2013, registered Sep 16, 2013 (-16 days) · Other
- B••••••• I••••••••• S•••••••• I••• ••••• to C••• F•••••••• S•••••••• L•••left Sep 6, 2011, registered Sep 8, 2011 (2 days) · Other
- B••• O• A•••••• I••••••••• S•••••••• I••• to B••••••• I••••••••• S•••••••• I••• •••••left Jul 12, 2007, registered Jan 16, 2009 (554 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
- 28derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address