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.
A•••••• N•••• S••••
- G••••••• C•••••• A•••••••• L•• mixed wealth currentsince Feb 22, 2022 · Beverly Hills, Ca
- G••••••• C•••••• A•••••••• L•• mixed wealthApr 5, 2021 to Dec 10, 2021 · Beverly Hills, Ca
- I••••••• A••••••• S•••••••• L•• mixed wealthJul 1, 2020 to Dec 21, 2021 · Beverly Hills, Ca
- M••••• S•••••• wirehouseJun 1, 2016 to Jul 30, 2020 · Los Angeles, Ca
- J••• M••••• S••••••••• L•• wirehouseJul 9, 2010 to Jun 7, 2016 · Los Angeles, Ca
- D••••••• B••• S••••••••• I••• no RAUMMar 13, 2008 to Aug 13, 2010 · Los Angeles, Ca
- U•• F•••••••• S••••••• I••• wirehouseFeb 28, 2001 to Mar 26, 2008 · Beverly Hills, Ca
- I••••••• A••••••• S•••••••• L•• to G••••••• C•••••• A•••••••• L••left Dec 21, 2021, registered Apr 5, 2021 (-260 days) · RIA to a newly registered adviser
- M••••• S•••••• to I••••••• A••••••• S•••••••• L••left Jul 30, 2020, registered Jul 1, 2020 (-29 days) · Wirehouse to independent RIA
- J••• M••••• S••••••••• L•• to M••••• S••••••left Jun 7, 2016, registered Jun 1, 2016 (-6 days) · Wirehouse to wirehouse · moved with a team
- D••••••• B••• S••••••••• I••• to J••• M••••• S••••••••• L••left Aug 13, 2010, registered Jul 9, 2010 (-35 days) · Other
- U•• F•••••••• S••••••• I••• to D••••••• B••• S••••••••• I•••left Mar 26, 2008, registered Mar 13, 2008 (-13 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
- Wealth manager with institutional or fund businessderived
- Years in industry
- 25derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address