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.
E••••• J• H••••••
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse currentsince Oct 13, 2011 · La Canada Flintridge, Ca
- Q•••• C•••••• S••••••••• I••• formerOct 11, 2007 to Nov 7, 2008 · Laguna Hills, Ca
- B••• O• A•••••• I••••••••• S•••••••• I••• unclassifiedJul 8, 2003 to Dec 13, 2005 · Glendale, Ca
- Q•••• C•••••• S••••••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Nov 7, 2008, registered Oct 13, 2011 (1070 days) · Other
- B••• O• A•••••• I••••••••• S•••••••• I••• to Q•••• C•••••• S••••••••• I•••left Dec 13, 2005, registered Oct 11, 2007 (667 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
- Wirehousederived
- Years in industry
- 27derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address