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.
C•••• D••••• G••••
- C••••••• C•••••• P••••••• L•• state registered currentsince Jan 30, 2006 · La Canada, Ca
- V•••••• W••••• formerAug 9, 2004 to Feb 13, 2006 · Pasadena, Ca
- G•••• A•••• M••••••••• L•• independent RIAApr 15, 2004 to Jul 21, 2004 · Claremont, Ca
- V•••••• W••••• to C••••••• C•••••• P••••••• L••left Feb 13, 2006, registered Jan 30, 2006 (-14 days) · Other
- G•••• A•••• M••••••••• L•• to V•••••• W•••••left Jul 21, 2004, registered Aug 9, 2004 (19 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
- STATE REGISTEREDderived
- Years in industry
- 25derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address