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.
K••• S•••• V•••
- V••• F•••••••• I••••••••• A••••••• state registered currentsince Jun 30, 2023 · Los Angeles, Ca
- E•••• S••••••••• L•• BD affiliatedJun 18, 2020 to Aug 25, 2021 · Glendale, Ca
- B••••••••• C•••••• M••••••••• L•• formerMar 2, 2011 to Jan 17, 2012 · Menlo Park, Ca
- B••• O• A•••••• I••••••••• S•••••••• I••• unclassifiedFeb 8, 2008 to Mar 18, 2009 · Pasadena, Ca
- U•• I••••••••• I••• unclassifiedFeb 23, 2005 to Feb 24, 2006 · Los Angeles, Ca
- U•• F•••••••• S••••••• I••• wirehouseFeb 26, 2004 to Feb 24, 2005 · Bethesda, Md
- E•••• S••••••••• L•• to V••• F•••••••• I••••••••• A•••••••left Aug 25, 2021, registered Jun 30, 2023 (674 days) · Affiliated broker-dealer or bank to a state-registered adviser
- B••••••••• C•••••• M••••••••• L•• to E•••• S••••••••• L••left Jan 17, 2012, registered Jun 18, 2020 (3075 days) · Other
- B••• O• A•••••• I••••••••• S•••••••• I••• to B••••••••• C•••••• M••••••••• L••left Mar 18, 2009, registered Mar 2, 2011 (714 days) · Other
- U•• I••••••••• I••• to B••• O• A•••••• I••••••••• S•••••••• I•••left Feb 24, 2006, registered Feb 8, 2008 (714 days) · Other
- U•• F•••••••• S••••••• I••• to U•• I••••••••• I•••left Feb 24, 2005, registered Feb 23, 2005 (-1 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
- STATE REGISTEREDderived
- Years in industry
- 22derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address