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.
W••• S••••• P••••
- S•••••••• W••••• M••••••••• independent RIA currentsince Sep 21, 2011 · Pasadena, Ca
- W••••• A•••••••• L•• otherSep 23, 2009 to Jan 11, 2012 · Pasadena, Ca
- H•••••• S••••••••• I••• BD affiliatedDec 10, 2008 to Jul 7, 2009 · Sherman Oaks, Ca
- T•••• A•••• M••••••••• L•• unclassifiedJul 27, 2004 to Jul 6, 2009 · Beverly Hills, Ca
- M••• S•••• • C••• L••• unclassifiedJun 3, 2003 to Jan 21, 2009 · Beverly Hills, Ca
- C••••••• I••••••••• S••••••• unclassifiedFeb 19, 2003 to May 28, 2003 · Torrance, Ca
- C•••••• S••••• • C••• I••• national BDJul 3, 2002 to Feb 13, 2003 · Long Beach, Ca
- A••••••••• F•••••••• S•••••••• L•• national BDJan 5, 1999 to Jun 13, 2002 · Long Beach, Ca
- W••••• A•••••••• L•• to S•••••••• W••••• M•••••••••left Jan 11, 2012, registered Sep 21, 2011 (-112 days) · Other
- H•••••• S••••••••• I••• to W••••• A•••••••• L••left Jul 7, 2009, registered Sep 23, 2009 (78 days) · Other
- T•••• A•••• M••••••••• L•• to H•••••• S••••••••• I•••left Jul 6, 2009, registered Dec 10, 2008 (-208 days) · Other
- M••• S•••• • C••• L••• to T•••• A•••• M••••••••• L••left Jan 21, 2009, registered Jul 27, 2004 (-1639 days) · Other
- C••••••• I••••••••• S••••••• to M••• S•••• • C••• L•••left May 28, 2003, registered Jun 3, 2003 (6 days) · Other
- C•••••• S••••• • C••• I••• to C••••••• I••••••••• S•••••••left Feb 13, 2003, registered Feb 19, 2003 (6 days) · Other
- A••••••••• F•••••••• S•••••••• L•• to C•••••• S••••• • C••• I•••left Jun 13, 2002, registered Jul 3, 2002 (20 days) · Affiliated broker-dealer or bank to another
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
- Independent wealth managerderived
- Years in industry
- 28derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address