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.
R•••••• R••••••••
- L•• F•••••••• L•• BD affiliated currentsince Apr 7, 2020 · Whittier, Ca
- C•••••• V•••• A•••• M••••••••• I••• unclassifiedAug 9, 2018 to Apr 29, 2021 · Santa Monica, Ca
- R•• C•••••• M••••••• L•• national BDApr 8, 2014 to Aug 1, 2018 · Beverly Hills, Ca
- W•••••• O••••• S••••••••• unclassifiedJan 25, 2002 to Jun 10, 2005 · Los Angeles, Ca
- C•••••• V•••• A•••• M••••••••• I••• to L•• F•••••••• L••left Apr 29, 2021, registered Apr 7, 2020 (-387 days) · Other
- R•• C•••••• M••••••• L•• to C•••••• V•••• A•••• M••••••••• I•••left Aug 1, 2018, registered Aug 9, 2018 (8 days) · Other
- W•••••• O••••• S••••••••• to R•• C•••••• M••••••• L••left Jun 10, 2005, registered Apr 8, 2014 (3224 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