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•••••• S•••••• G••••
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse currentsince Mar 6, 2020 · Westlake Village, Ca
- B••••••• I••••••••• S•••••••• I••• ••••• formerMar 24, 2015 to Feb 13, 2020 · Los Angeles, Ca
- F•••• F••••••••• A••••••• independent RIAMar 12, 2014 to Mar 31, 2015 · Los Angeles, Ca
- U••• B•••••• A•••••••• L•• BD affiliatedMay 2, 2013 to Feb 12, 2014 · Woodland Hills, Ca
- W•••• F•••• I••••••••• L•• unclassifiedJan 29, 2004 to Oct 3, 2005 · Pasadena, Ca
- B••••••• I••••••••• S•••••••• I••• ••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Feb 13, 2020, registered Mar 6, 2020 (22 days) · Affiliated broker-dealer or bank to wirehouse · moved with a team
- F•••• F••••••••• A••••••• to B••••••• I••••••••• S•••••••• I••• •••••left Mar 31, 2015, registered Mar 24, 2015 (-7 days) · Other
- U••• B•••••• A•••••••• L•• to F•••• F••••••••• A•••••••left Feb 12, 2014, registered Mar 12, 2014 (28 days) · Other
- W•••• F•••• I••••••••• L•• to U••• B•••••• A•••••••• L••left Oct 3, 2005, registered May 2, 2013 (2768 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
- Wirehousederived
- Years in industry
- 30derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address