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.
T•••••• C••••••••• C••••
- A••••••••• F•••••••• S•••••••• L•• national BD currentsince Sep 2, 2022 · Downey, Ca
- C••• F•••••••• S•••••••• L••• formerOct 10, 2019 to Sep 2, 2022 · Pasadena, Ca
- D••• D••••••• • C•• independent RIAMay 25, 2018 to Sep 18, 2019 · Los Angeles, Ca
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseJul 30, 2013 to Dec 23, 2016 · Hallandale Beach, Fl
- E•••••• C•••••• M••••••••• L•• formerMay 12, 2011 to Jul 16, 2013 · Arlington, Va
- C••• F•••••••• S•••••••• L••• to A••••••••• F•••••••• S•••••••• L••left Sep 2, 2022, registered Sep 2, 2022 (0 days) · Affiliated broker-dealer or bank to another
- D••• D••••••• • C•• to C••• F•••••••• S•••••••• L•••left Sep 18, 2019, registered Oct 10, 2019 (22 days) · RIA to affiliated broker-dealer or bank
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to D••• D••••••• • C••left Dec 23, 2016, registered May 25, 2018 (518 days) · Wirehouse to independent RIA
- E•••••• C•••••• M••••••••• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Jul 16, 2013, registered Jul 30, 2013 (14 days) · Other
- T•••••• C••••••••• C•••• left C••• F•••••••• S•••••••• L••• for A••••••••• F•••••••• S•••••••• L•• (registered 2022-09-02)Sep 2, 2022 · Advisor changed firm · fact
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
- National broker-dealer RIAderived
- Years in industry
- 28derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address