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.
P••• S•••••• C••••••••
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse currentsince Oct 4, 2017 · Los Angeles, Ca
- J••• M••••• S••••••••• L•• wirehouseFeb 25, 2010 to May 15, 2012 · Los Angeles, Ca
- C•••••• S••••••••• I••• unclassifiedAug 12, 2009 to Jan 22, 2010 · Los Angeles, Ca
- D••••••• B••• S••••••••• I••• no RAUMApr 17, 2007 to Sep 19, 2007 · Los Angeles, Ca
- C••••• S••••• S••••••••• •••• L•• formerJan 17, 2003 to Jun 17, 2005 · Los Angeles, Ca
- P••••••• L•• unclassifiedAug 8, 2002 to Jan 17, 2003 · Los Angeles, Ca
- J••• M••••• S••••••••• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left May 15, 2012, registered Oct 4, 2017 (1968 days) · Wirehouse to wirehouse
- C•••••• S••••••••• I••• to J••• M••••• S••••••••• L••left Jan 22, 2010, registered Feb 25, 2010 (34 days) · Other
- D••••••• B••• S••••••••• I••• to C•••••• S••••••••• I•••left Sep 19, 2007, registered Aug 12, 2009 (693 days) · Other
- C••••• S••••• S••••••••• •••• L•• to D••••••• B••• S••••••••• I•••left Jun 17, 2005, registered Apr 17, 2007 (669 days) · Other
- P••••••• L•• to C••••• S••••• S••••••••• •••• L••left Jan 17, 2003, registered Jan 17, 2003 (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
- Wirehousederived
- Years in industry
- 28derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address