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.
A•••• J•••••
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse currentsince Jun 3, 2013 · Laguna Niguel, Ca
- L••••• W••••• A•••••••• I••• formerFeb 20, 2013 to May 17, 2013 · Solana Beach, Ca
- I•••••••• A•••••••• L•• BD affiliatedMar 13, 2012 to Jan 4, 2013 · Urbandale, Ia
- O••••• W••••• M••••••••• unclassifiedOct 13, 2010 to Mar 15, 2012 · Irvine, Ca
- L••••• W••••• A•••••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left May 17, 2013, registered Jun 3, 2013 (17 days) · Other
- I•••••••• A•••••••• L•• to L••••• W••••• A•••••••• I•••left Jan 4, 2013, registered Feb 20, 2013 (47 days) · Other
- O••••• W••••• M••••••••• to I•••••••• A•••••••• L••left Mar 15, 2012, registered Mar 13, 2012 (-2 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
- 16derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address