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.
H••• Y••••• M•••••
- C••••• I••••••••• A••••••• L•• BD affiliated currentsince Jun 29, 2023 · Los Angeles, Ca
- G•• A••••••• formerJul 11, 2012 to Dec 2, 2013 · Marina Del Rey, Ca
- W•••••• I••••••••• S••••••••• formerJun 1, 2010 to Mar 16, 2012 · Pasadena, Ca
- M•• I•••••••• S•••••••• L•• BD affiliatedJun 16, 2004 to Jul 18, 2006 · Los Angeles, Ca
- U•• F•••••••• S••••••• I••• wirehouseJun 29, 2000 to Jul 30, 2003 · Beverly Hills, Ca
- G•• A••••••• to C••••• I••••••••• A••••••• L••left Dec 2, 2013, registered Jun 29, 2023 (3496 days) · Other
- W•••••• I••••••••• S••••••••• to G•• A•••••••left Mar 16, 2012, registered Jul 11, 2012 (117 days) · Other
- M•• I•••••••• S•••••••• L•• to W•••••• I••••••••• S•••••••••left Jul 18, 2006, registered Jun 1, 2010 (1414 days) · Other
- U•• F•••••••• S••••••• I••• to M•• I•••••••• S•••••••• L••left Jul 30, 2003, registered Jun 16, 2004 (322 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
- 29derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address