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.
- M••••• S•••••• wirehouse currentsince Jan 12, 2021 · Seattle, Wa
- P•• A••••••• independent RIAJul 1, 2019 to Dec 9, 2019 · Goleta, Ca
- M••••••• C•••••• A••••••• unclassifiedSep 5, 2013 to Jun 13, 2019 · Beverly Hills, Ca
- E•••••• F•••••••• S•••••••• L•• formerMay 22, 2012 to Nov 29, 2012 · Century City, Ca
- C•••••••• G••••• M•••••• I••• BD affiliatedMar 12, 2010 to Dec 21, 2011 · Glendale, Ca
- B••• O• A•••••• I••••••••• S•••••••• I••• unclassifiedJun 18, 2002 to Jan 29, 2009 · Los Angeles, Ca
- P•• A••••••• to M••••• S••••••left Dec 9, 2019, registered Jan 12, 2021 (400 days) · RIA to wirehouse
- M••••••• C•••••• A••••••• to P•• A•••••••left Jun 13, 2019, registered Jul 1, 2019 (18 days) · Other
- E•••••• F•••••••• S•••••••• L•• to M••••••• C•••••• A•••••••left Nov 29, 2012, registered Sep 5, 2013 (280 days) · Other
- C•••••••• G••••• M•••••• I••• to E•••••• F•••••••• S•••••••• L••left Dec 21, 2011, registered May 22, 2012 (153 days) · Other
- B••• O• A•••••• I••••••••• S•••••••• I••• to C•••••••• G••••• M•••••• I•••left Jan 29, 2009, registered Mar 12, 2010 (407 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
- Wirehousederived
- Years in industry
- 26derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address