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•••••
- U•• F•••••••• S••••••• I••• wirehouse currentsince Nov 23, 2015 · Los Angeles, Ca
- C••••• S••••• S••••••••• •••• L•• formerJun 16, 2011 to Dec 18, 2015 · Los Angeles, Ca
- D••••••• B••• S••••••••• I••• no RAUMMar 29, 2006 to Jun 15, 2011 · Los Angeles, Ca
- U•• I••••••••• I••• unclassifiedMay 14, 2003 to Mar 14, 2006 · Los Angeles, Ca
- C••••• S••••• S••••••••• •••• L•• to U•• F•••••••• S••••••• I•••left Dec 18, 2015, registered Nov 23, 2015 (-25 days) · corporate re-registration, not a move
- D••••••• B••• S••••••••• I••• to C••••• S••••• S••••••••• •••• L••left Jun 15, 2011, registered Jun 16, 2011 (1 days) · Other
- U•• I••••••••• I••• to D••••••• B••• S••••••••• I•••left Mar 14, 2006, registered Mar 29, 2006 (15 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
- 25derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address