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.
S••• J•
- O•••• W•••••• I••• BD affiliated currentsince May 5, 2015 · Beverly Hills, Ca
- S•• W••••• M••••••••• I••• state registered currentsince Aug 3, 2012 · La Crescenta, Ca
- T•• W••••• C••••••••• I••• independent RIAFeb 14, 2007 to May 10, 2011 · Woodland Hills, Ca
- L•• F•••••••• I••• formerSep 29, 2004 to Oct 2, 2007 · Los Angeles, Ca
- L••••• W••• C•••••• M••••••••• I••• unclassifiedJul 7, 2004 to Sep 30, 2004 · Los Angeles, Ca
- T•• W••••• C••••••••• I••• to S•• W••••• M••••••••• I•••left May 10, 2011, registered Aug 3, 2012 (451 days) · Other
- L•• F•••••••• I••• to T•• W••••• C••••••••• I•••left Oct 2, 2007, registered Feb 14, 2007 (-230 days) · Other
- L••••• W••• C•••••• M••••••••• I••• to L•• F•••••••• I•••left Sep 30, 2004, registered Sep 29, 2004 (-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
- 27derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address