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.
D••• C••••••••• G•
- L•• F•••••••• L•• BD affiliated currentsince May 6, 2022 · Covina, Ca
- S••••••••• A•••••• A•••••••• I••• formerApr 6, 2018 to Feb 7, 2022 · Hollywood, Ca
- C••• F•••••••• S•••••••• L••• formerOct 3, 2016 to Jun 26, 2017 · Los Angeles, Ca
- L•• F•••••••• L•• BD affiliatedJun 9, 2015 to Oct 7, 2016 · Los Angeles, Ca
- I••••• F•••••••• C••••••••• formerMay 11, 2009 to Jun 8, 2015 · Burbank, Ca
- N••••••••• I••••••••• A•••••••• L•• BD affiliatedDec 5, 2006 to Nov 7, 2008 · Columbus, Oh
- N••••••••• I••••••••• S••••••• C••••••••• unclassifiedNov 20, 2006 to Dec 5, 2006 · Northridge, Ca
- W••• I••••••••• I••• unclassifiedOct 27, 2003 to Oct 27, 2006 · Los Angeles, Ca
- W•••• F•••• I••••••••• L•• unclassifiedMay 15, 2001 to Aug 18, 2003 · Alhambra, Ca
- S••••••••• A•••••• A•••••••• I••• to L•• F•••••••• L••left Feb 7, 2022, registered May 6, 2022 (88 days) · Affiliated broker-dealer or bank to independent RIA · moved with a team
- C••• F•••••••• S•••••••• L••• to S••••••••• A•••••• A•••••••• I•••left Jun 26, 2017, registered Apr 6, 2018 (284 days) · Other
- L•• F•••••••• L•• to C••• F•••••••• S•••••••• L•••left Oct 7, 2016, registered Oct 3, 2016 (-4 days) · Other · moved with a team
- I••••• F•••••••• C••••••••• to L•• F•••••••• L••left Jun 8, 2015, registered Jun 9, 2015 (1 days) · Other
- N••••••••• I••••••••• A•••••••• L•• to I••••• F•••••••• C•••••••••left Nov 7, 2008, registered May 11, 2009 (185 days) · Other
- N••••••••• I••••••••• S••••••• C••••••••• to N••••••••• I••••••••• A•••••••• L••left Dec 5, 2006, registered Dec 5, 2006 (0 days) · corporate re-registration, not a move
- W••• I••••••••• I••• to N••••••••• I••••••••• S••••••• C•••••••••left Oct 27, 2006, registered Nov 20, 2006 (24 days) · Other
- W•••• F•••• I••••••••• L•• to W••• I••••••••• I•••left Aug 18, 2003, registered Oct 27, 2003 (70 days) · Other
- D••• C••••••••• G• left S••••••••• A•••••• A•••••••• I••• for L•• F•••••••• L•• (registered 2022-05-06)Feb 7, 2022 · Advisor changed firm · fact
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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 27derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address