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.
B•••••• S••• P•••••
- A••••• W••••• P••••••• independent RIA currentsince Dec 3, 2009 · Santa Monica, Ca
- A••••• P••••••••• unclassifiedDec 15, 2006 to Jan 21, 2010 · Pacific Palisades, Ca
- A••••••• W••••• E••••••••• independent RIANov 22, 2005 to Dec 7, 2006 · Los Angeles, Ca
- S•• I••••••••• I••• formerJan 7, 2005 to Oct 12, 2005 · Los Angeles, Ca
- P•••••• P••••••• S••••••••• I••• unclassifiedJul 19, 2004 to Dec 17, 2004 · Sacramento, Ca
- F•••••••• W••• G•••• formerSep 10, 2001 to Jul 13, 2004 · W•••Lake Village, Ca
- A••••• P••••••••• to A••••• W••••• P•••••••left Jan 21, 2010, registered Dec 3, 2009 (-49 days) · Other
- A••••••• W••••• E••••••••• to A••••• P•••••••••left Dec 7, 2006, registered Dec 15, 2006 (8 days) · Other
- S•• I••••••••• I••• to A••••••• W••••• E•••••••••left Oct 12, 2005, registered Nov 22, 2005 (41 days) · Other
- P•••••• P••••••• S••••••••• I••• to S•• I••••••••• I•••left Dec 17, 2004, registered Jan 7, 2005 (21 days) · Other
- F•••••••• W••• G•••• to P•••••• P••••••• S••••••••• I•••left Jul 13, 2004, registered Jul 19, 2004 (6 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
- Independent wealth managerderived
- Years in industry
- 25derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address