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.
P••• A•••• M•••••••
- C•••••• V•••• M••••••••• L•• independent RIA currentsince Oct 1, 2022 · Los Angeles, Ca
- W•••••• S••••••••• I••• BD affiliatedApr 3, 2009 to Oct 14, 2022 · Los Angeles, Ca
- U•• F•••••••• S••••••• I••• wirehouseJul 8, 1997 to Apr 15, 2009 · Los Angeles, Ca
- W•••••• S••••••••• I••• to C•••••• V•••• M••••••••• L••left Oct 14, 2022, registered Oct 1, 2022 (-13 days) · Affiliated broker-dealer or bank to independent RIA
- U•• F•••••••• S••••••• I••• to W•••••• S••••••••• I•••left Apr 15, 2009, registered Apr 3, 2009 (-12 days) · Other
- P••• A•••• M••••••• left W•••••• S••••••••• I••• for C•••••• V•••• M••••••••• L•• (registered 2022-10-01)Oct 14, 2022 · Advisor changed firm · fact
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
- 40derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address