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••••• F•••••• J••••••
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse currentsince Jun 12, 2015 · Los Angeles, Ca
- B••••••• C•••••• I••• formerDec 13, 2013 to Jun 25, 2015 · Los Angeles, Ca
- D••••••• B••• S••••••••• I••• no RAUMMay 28, 2003 to Jan 2, 2014 · Los Angeles, Ca
- C••••• S••••• S••••••••• •••• L•• formerJan 27, 2003 to May 8, 2003 · San F••••••Co, Ca
- B••••••• C•••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Jun 25, 2015, registered Jun 12, 2015 (-13 days) · Other · moved with a team
- D••••••• B••• S••••••••• I••• to B••••••• C•••••• I•••left Jan 2, 2014, registered Dec 13, 2013 (-20 days) · Other
- C••••• S••••• S••••••••• •••• L•• to D••••••• B••• S••••••••• I•••left May 8, 2003, registered May 28, 2003 (20 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