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.
J••••• C•••••••• G•••••
- M•• I•••••••• S•••••••• L•• BD affiliated currentsince Feb 26, 2018 · Los Angeles, Ca
- C••••••••• W•••••• L•• independent RIAAug 12, 2015 to May 18, 2017 · Los Angeles, Ca
- M•• I•••••••• S•••••••• L•• BD affiliatedMay 14, 2012 to Aug 20, 2015 · Los Angeles, Ca
- N••••••••• M••••• I••••••••• S••••••••• no RAUMOct 6, 2009 to Feb 17, 2012 · Los Angeles, Ca
- C••••••••• W•••••• L•• to M•• I•••••••• S•••••••• L••left May 18, 2017, registered Feb 26, 2018 (284 days) · Other
- M•• I•••••••• S•••••••• L•• to C••••••••• W•••••• L••left Aug 20, 2015, registered Aug 12, 2015 (-8 days) · Other
- N••••••••• M••••• I••••••••• S••••••••• to M•• I•••••••• S•••••••• L••left Feb 17, 2012, registered May 14, 2012 (87 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
- 16derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address