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••••• B••••••••
- W•••• F•••• A••••••• wirehouse currentsince Dec 11, 2024 · Woodland Hills, Ca
- H••• S••••••••• •••• I••• BD affiliatedMar 6, 2012 to Dec 13, 2024 · Encino, Ca
- A•••••• A••••••• S••••••• formerNov 13, 2009 to Feb 27, 2012 · Los Angeles, Ca
- B••• O• A•••••• I••••••••• S•••••••• I••• unclassifiedOct 24, 2000 to Nov 19, 2007 · Encino, Ca
- H••• S••••••••• •••• I••• to W•••• F•••• A•••••••left Dec 13, 2024, registered Dec 11, 2024 (-2 days) · Affiliated broker-dealer or bank to wirehouse
- A•••••• A••••••• S••••••• to H••• S••••••••• •••• I•••left Feb 27, 2012, registered Mar 6, 2012 (8 days) · Other
- B••• O• A•••••• I••••••••• S•••••••• I••• to A•••••• A••••••• S•••••••left Nov 19, 2007, registered Nov 13, 2009 (725 days) · Other
- M••••• B•••••••• left H••• S••••••••• •••• I••• for W•••• F•••• A••••••• (registered 2024-12-11)Dec 13, 2024 · 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
- Wirehousederived
- Years in industry
- 25derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address