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••••• P•••••• G••••••
- C••••••••• F•••••••• P•••••••• I••• state registered currentsince Sep 21, 2023 · Glendale, Ca
- L•• F•••••••• L•• BD affiliated currentsince Mar 28, 2013 · Glendale, Ca
- C••••••••• F•••••••• P••••••• unclassifiedJan 25, 2016 to Sep 22, 2023 · Glendale, Ca
- C••••••••• F•••••••• P••••••• unclassifiedNov 24, 2014 to Dec 31, 2015 · Glendale, Ca
- T•• H•••••• G•••• W••••• M••••••••• A•• R••••••••• S•••••••• unclassifiedMay 17, 2013 to Nov 19, 2014 · Los Angeles, Ca
- S•••••••• A••••••• L•• national BDMar 6, 2012 to Apr 3, 2013 · Pasadena, Ca
- U•• F•••••••• S••••••• I••• wirehouseSep 7, 2007 to Jan 19, 2012 · Los Angeles, Ca
- D••••••• B••• S••••••••• I••• no RAUMJun 18, 2001 to Oct 5, 2007 · Los Angeles, Ca
- C••••••••• F•••••••• P••••••• to C••••••••• F•••••••• P•••••••• I•••left Sep 22, 2023, registered Sep 21, 2023 (-1 days) · Other · moved with a team
- T•• H•••••• G•••• W••••• M••••••••• A•• R••••••••• S•••••••• to C••••••••• F•••••••• P•••••••left Nov 19, 2014, registered Nov 24, 2014 (5 days) · Other
- S•••••••• A••••••• L•• to L•• F•••••••• L••left Apr 3, 2013, registered Mar 28, 2013 (-6 days) · Other
- U•• F•••••••• S••••••• I••• to S•••••••• A••••••• L••left Jan 19, 2012, registered Mar 6, 2012 (47 days) · Wirehouse to affiliated broker-dealer or bank
- D••••••• B••• S••••••••• I••• to U•• F•••••••• S••••••• I•••left Oct 5, 2007, registered Sep 7, 2007 (-28 days) · Other
- R••••• P•••••• G•••••• left C••••••••• F•••••••• P••••••• for C••••••••• F•••••••• P•••••••• I••• (registered 2023-09-21)Sep 22, 2023 · 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
- STATE REGISTEREDderived
- Years in industry
- 27derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address