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••• R•• L••••
- C•••••• S••••• • C••• I••• national BD currentsince Aug 9, 2017 · Newport Beach, Ca
- C•••••• C••••• G••••• I••• no RAUMJun 16, 2014 to Jan 31, 2017 · Irvine, Ca
- S••••• I••••••••• M••••••••• L•• independent RIAApr 26, 2012 to Jul 11, 2014 · Santa Monica, Ca
- P•••••• A••••••••• A••••••• G••••• L•• formerJun 22, 2011 to Mar 20, 2012 · Pasadena, Ca
- B••••• A••••••• L•• formerAug 24, 2010 to Mar 5, 2012 · Pasadena, Ca
- P••••• • R•••• otherOct 21, 2003 to Nov 3, 2005 · Los Angeles, Ca
- C•••••• C••••• G••••• I••• to C•••••• S••••• • C••• I•••left Jan 31, 2017, registered Aug 9, 2017 (190 days) · Other
- S••••• I••••••••• M••••••••• L•• to C•••••• C••••• G••••• I•••left Jul 11, 2014, registered Jun 16, 2014 (-25 days) · Other
- P•••••• A••••••••• A••••••• G••••• L•• to S••••• I••••••••• M••••••••• L••left Mar 20, 2012, registered Apr 26, 2012 (37 days) · Other
- B••••• A••••••• L•• to P•••••• A••••••••• A••••••• G••••• L••left Mar 5, 2012, registered Jun 22, 2011 (-257 days) · Other
- P••••• • R•••• to B••••• A••••••• L••left Nov 3, 2005, registered Aug 24, 2010 (1755 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
- 27derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address