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.
H•• J•• C••
- P••••••• D•••• A•••• M••••••••• L•• former currentsince Jun 15, 2011 · Los Angeles, Ca
- L•• F•••••••• L•• BD affiliatedSep 22, 2009 to Jun 13, 2011 · Los Angeles, Ca
- U•• F•••••••• S••••••• I••• wirehouseJan 20, 2006 to Oct 2, 2009 · Los Angeles, Ca
- M••••• S•••••• D• I••• unclassifiedMay 14, 2002 to Jan 23, 2006 · Los Angeles, Ca
- P••••••••• E••••• G••••• L•• unclassifiedJul 13, 2000 to May 10, 2002 · Pasadena, Ca
- L•• F•••••••• L•• to P••••••• D•••• A•••• M••••••••• L••left Jun 13, 2011, registered Jun 15, 2011 (2 days) · Other
- U•• F•••••••• S••••••• I••• to L•• F•••••••• L••left Oct 2, 2009, registered Sep 22, 2009 (-10 days) · Other
- M••••• S•••••• D• I••• to U•• F•••••••• S••••••• I•••left Jan 23, 2006, registered Jan 20, 2006 (-3 days) · Other
- P••••••••• E••••• G••••• L•• to M••••• S•••••• D• I•••left May 10, 2002, registered May 14, 2002 (4 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
- Former SEC-registered adviserderived
- Years in industry
- 26derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address