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••••• A•••••
- O•••• W•••••• I••• BD affiliated currentsince Nov 2, 2018 · South Pasadena, Ca
- S••••••• I••••••••• I••• formerMay 13, 2016 to Nov 2, 2018 · South Pasadena, Ca
- C••• F•••••••• S•••••••• L••• formerJan 12, 2012 to Feb 21, 2012 · Los Angeles, Ca
- T••••••••• F•••••••• A•••••••• L•• BD affiliatedJan 21, 2010 to May 13, 2016 · Pasadena, Ca
- W••••• F•••••••• S•••••••• L•• formerMar 10, 2008 to Apr 27, 2009 · Los Angeles, Ca
- M••• E• A•••••••• I••• unclassifiedFeb 2, 2007 to May 7, 2007 · El Segundo, Ca
- L•• F•••••••• L•• BD affiliatedFeb 18, 2003 to Jul 21, 2003 · Glendale, Ca
- S••••••• I••••••••• I••• to O•••• W•••••• I•••left Nov 2, 2018, registered Nov 2, 2018 (0 days) · corporate re-registration, not a move
- T••••••••• F•••••••• A•••••••• L•• to C••• F•••••••• S•••••••• L•••left May 13, 2016, registered Jan 12, 2012 (-1583 days) · Other
- C••• F•••••••• S•••••••• L••• to S••••••• I••••••••• I•••left Feb 21, 2012, registered May 13, 2016 (1543 days) · Other
- W••••• F•••••••• S•••••••• L•• to T••••••••• F•••••••• A•••••••• L••left Apr 27, 2009, registered Jan 21, 2010 (269 days) · Other
- M••• E• A•••••••• I••• to W••••• F•••••••• S•••••••• L••left May 7, 2007, registered Mar 10, 2008 (308 days) · Other
- L•• F•••••••• L•• to M••• E• A•••••••• I•••left Jul 21, 2003, registered Feb 2, 2007 (1292 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
- 23derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address