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••• B••• C••••••••
- L••• A••••• F•••••••• L•• independent RIA currentsince Jan 3, 2022 · Pasadena, Ca
- I••••••••• W••••• C••••••• L•• independent RIANov 5, 2019 to Oct 15, 2021 · Pasadena, Ca
- L••• A••••• F••••••••• L•• unclassifiedFeb 24, 2016 to May 13, 2020 · Pasadena, Ca
- L••• A••••• F••••••••• L•• unclassifiedFeb 8, 2016 to Dec 31, 2016 · Pasadena, Ca
- L••• A••••• F••••••••• L•• unclassifiedMar 17, 2014 to Dec 31, 2015 · Pasadena, Ca
- L•• F•••••••• L•• BD affiliatedJul 15, 2003 to Oct 28, 2015 · Los Angeles, Ca
- A••••••••• F•••••••• S•••••••• L•• national BDJun 21, 1999 to Jul 25, 2003 · Glendale, Ca
- I••••••••• W••••• C••••••• L•• to L••• A••••• F•••••••• L••left Oct 15, 2021, registered Jan 3, 2022 (80 days) · RIA to a newly registered adviser · moved with a team
- L••• A••••• F••••••••• L•• to I••••••••• W••••• C••••••• L••left May 13, 2020, registered Nov 5, 2019 (-190 days) · Other · moved with a team
- L•• F•••••••• L•• to L••• A••••• F••••••••• L••left Oct 28, 2015, registered Mar 17, 2014 (-590 days) · Other
- A••••••••• F•••••••• S•••••••• L•• to L•• F•••••••• L••left Jul 25, 2003, registered Jul 15, 2003 (-10 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
- Independent wealth managerderived
- Years in industry
- 28derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address