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.
- M••••• S•••••• wirehouse currentsince Jun 11, 2015 · Dallas, Tx
- B••••••• C•••••• I••• formerMay 28, 2010 to Jun 25, 2015 · Los Angeles, Ca
- H••• S••••••••• •••• I••• BD affiliatedDec 6, 2007 to Jun 11, 2010 · Beverly Hills, Ca
- C••••• S••••• S••••••••• •••• L•• formerJan 23, 2003 to Apr 5, 2005 · Los Angeles, Ca
- B••••••• C•••••• I••• to M••••• S••••••left Jun 25, 2015, registered Jun 11, 2015 (-14 days) · Other · moved with a team
- H••• S••••••••• •••• I••• to B••••••• C•••••• I•••left Jun 11, 2010, registered May 28, 2010 (-14 days) · Other
- C••••• S••••• S••••••••• •••• L•• to H••• S••••••••• •••• I•••left Apr 5, 2005, registered Dec 6, 2007 (975 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
- Wirehousederived
- Years in industry
- 26derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address