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••• B••••••• S•••••
- L•••••• S•• I••••••••• A•••••••• L••••• BD affiliated currentsince May 22, 2017 · Pasadena, Ca
- S••••••••• A•••••• A•••••••• I••• formerDec 8, 2016 to May 23, 2017 · La Vista, Ne
- F••••••• S••••••••• I••• formerJun 19, 2009 to Dec 8, 2016 · Santa Clara, Ca
- N•• E•••••• S••••••••• C••••••••• formerSep 17, 1996 to Jun 22, 2009 · Pasadena, Ca
- S••••••••• A•••••• A•••••••• I••• to L•••••• S•• I••••••••• A•••••••• L•••••left May 23, 2017, registered May 22, 2017 (-1 days) · Other
- F••••••• S••••••••• I••• to S••••••••• A•••••• A•••••••• I•••left Dec 8, 2016, registered Dec 8, 2016 (0 days) · Other · moved with a team
- N•• E•••••• S••••••••• C••••••••• to F••••••• S••••••••• I•••left Jun 22, 2009, registered Jun 19, 2009 (-3 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
- 30derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address