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.
G••••••• S•••••• H••••••••
- P•••••••• S••••••••• I••• BD affiliated currentsince Aug 5, 2019 · Des Moines, Ia
- C••• B•••••••• S•••••••• I••• formerJan 27, 2017 to Jun 28, 2019 · Hermosa Beach, Ca
- O•••• F•• I••• formerAug 31, 2016 to Jan 12, 2017 · Hermosa Beach, Ca
- P••••• I••••••••• M••••••••• L•• asset managerFeb 28, 2013 to Sep 8, 2014 · Boston, Ma
- P••••••••• R••••••••• B•••••••• S•••••••• I••• unclassifiedMar 3, 2003 to Dec 3, 2004 · Manhattan Beach, Ca
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseOct 16, 2000 to Jan 6, 2003 · Century City, Ca
- C••• B•••••••• S•••••••• I••• to P•••••••• S••••••••• I•••left Jun 28, 2019, registered Aug 5, 2019 (38 days) · Affiliated broker-dealer or bank to another
- O•••• F•• I••• to C••• B•••••••• S•••••••• I•••left Jan 12, 2017, registered Jan 27, 2017 (15 days) · Other
- P••••• I••••••••• M••••••••• L•• to O•••• F•• I•••left Sep 8, 2014, registered Aug 31, 2016 (723 days) · Other
- P••••••••• R••••••••• B•••••••• S•••••••• I••• to P••••• I••••••••• M••••••••• L••left Dec 3, 2004, registered Feb 28, 2013 (3009 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to P••••••••• R••••••••• B•••••••• S•••••••• I•••left Jan 6, 2003, registered Mar 3, 2003 (56 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
- 25derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address