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•••• W••••• K••••
- L•• F•••••••• L•• BD affiliated currentsince Feb 14, 2018 · Valencia, Ca
- I••••• F•••••••• C••••••••• formerAug 11, 2009 to Feb 14, 2018 · Clearwater, Fl
- C••••••• W••••• • C•• formerJan 16, 2009 to May 1, 2009 · Encino, Ca
- C•••••••• G••••• M•••••• I••• BD affiliatedMay 29, 2007 to Feb 5, 2009 · Los Angeles, Ca
- C••••••• I••••••••• S••••••• unclassifiedJan 10, 2007 to May 29, 2007 · Glendale, Ca
- M••••• S•••••• D• I••• unclassifiedJul 4, 2003 to Dec 8, 2006 · Santa Monica, Ca
- I••••• F•••••••• C••••••••• to L•• F•••••••• L••left Feb 14, 2018, registered Feb 14, 2018 (0 days) · corporate re-registration, not a move
- C••••••• W••••• • C•• to I••••• F•••••••• C•••••••••left May 1, 2009, registered Aug 11, 2009 (102 days) · Other
- C•••••••• G••••• M•••••• I••• to C••••••• W••••• • C••left Feb 5, 2009, registered Jan 16, 2009 (-20 days) · Other
- C••••••• I••••••••• S••••••• to C•••••••• G••••• M•••••• I•••left May 29, 2007, registered May 29, 2007 (0 days) · corporate re-registration, not a move
- M••••• S•••••• D• I••• to C••••••• I••••••••• S•••••••left Dec 8, 2006, registered Jan 10, 2007 (33 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
- 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