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.
L••••• A• N•••••
- N•••••••• B••••• B• L•• no RAUM currentsince Jul 8, 2021 · Valley Village, Ca
- R•• S••••••••• I••• BD affiliatedOct 22, 2015 to Jun 22, 2021 · Los Angeles, Ca
- M••••• S•••••• wirehouseSep 9, 2013 to Sep 22, 2015 · Bellevue, Wa
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseSep 15, 2011 to Sep 10, 2013 · Seattle, Wa
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseMay 2, 2007 to Jul 29, 2010 · New York, Ny
- C•••••••• G••••• M•••••• I••• BD affiliatedJan 4, 2006 to Apr 2, 2007 · Seattle, Wa
- R•• S••••••••• I••• to N•••••••• B••••• B• L••left Jun 22, 2021, registered Jul 8, 2021 (16 days) · Other
- M••••• S•••••• to R•• S••••••••• I•••left Sep 22, 2015, registered Oct 22, 2015 (30 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to M••••• S••••••left Sep 10, 2013, registered Sep 9, 2013 (-1 days) · Wirehouse to wirehouse
- C•••••••• G••••• M•••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Apr 2, 2007, registered May 2, 2007 (30 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
- No RAUM reportedderived
- Years in industry
- 25derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address