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.
O•••••• C•••••
- J•• F••••••••• L•• independent RIA currentsince Sep 20, 2010 · Los Angeles, Ca
- E••••••• A•••• M••••••••• unclassifiedOct 20, 2005 to Jan 5, 2010 · Pasadena, Ca
- N••••••• T•••• S••••••••• I•• BD affiliatedJul 15, 2003 to Oct 19, 2005 · Los Angeles, Ca
- R•• R•••••••• L•• BD affiliatedDec 6, 2001 to Oct 16, 2002 · Beverly Hills, Ca
- E••••••• A•••• M••••••••• to J•• F••••••••• L••left Jan 5, 2010, registered Sep 20, 2010 (258 days) · Other
- N••••••• T•••• S••••••••• I•• to E••••••• A•••• M•••••••••left Oct 19, 2005, registered Oct 20, 2005 (1 days) · Other
- R•• R•••••••• L•• to N••••••• T•••• S••••••••• I••left Oct 16, 2002, registered Jul 15, 2003 (272 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
- Independent wealth managerderived
- Years in industry
- 24derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address