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.
R••••• H••••• O••
- G••••• V••• C•••••• M••••••••• L•• independent RIA currentsince Nov 16, 2016 · Waukesha, Wi
- T••••••••• F•••••••• A•••••••• L•• BD affiliatedJan 6, 2012 to Feb 20, 2016 · Pomona, Ca
- I••••••••• A••••••• I••••••••• I••• unclassifiedNov 8, 2010 to Jan 6, 2012 · Chino Hills, Ca
- T••••••••• F•••••••• A•••••••• L•• to G••••• V••• C•••••• M••••••••• L••left Feb 20, 2016, registered Nov 16, 2016 (270 days) · Other
- I••••••••• A••••••• I••••••••• I••• to T••••••••• F•••••••• A•••••••• L••left Jan 6, 2012, registered Jan 6, 2012 (0 days) · corporate re-registration, not a move
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
- 42derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address