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.
C••••••••• B• B•••••
- E••••• J•••• national BD currentsince Nov 29, 2021 · Camarillo, Ca
- U••• B•••••• A•••••••• L•• BD affiliatedFeb 4, 2014 to Nov 3, 2021 · Simi Valley, Ca
- S••••••• F•••••••• S•••••••• I••• formerJul 28, 2011 to Feb 4, 2014 · Camarillo, Ca
- O•••• F•• I••• formerAug 31, 1998 to May 24, 2011 · Westlake Village, Ca
- U••• B•••••• A•••••••• L•• to E••••• J••••left Nov 3, 2021, registered Nov 29, 2021 (26 days) · Affiliated broker-dealer or bank to another
- S••••••• F•••••••• S•••••••• I••• to U••• B•••••• A•••••••• L••left Feb 4, 2014, registered Feb 4, 2014 (0 days) · Other
- O•••• F•• I••• to S••••••• F•••••••• S•••••••• I•••left May 24, 2011, registered Jul 28, 2011 (65 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
- 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