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••••• J• S•••••
- J••• M••••• S••••••••• L•• wirehouse currentsince Mar 27, 2021 · Irvine, Ca
- W•••• F•••• A••••••• wirehouseFeb 29, 2016 to Aug 28, 2019 · Newport Beach, Ca
- C••••• S••••• S••••••••• •••• L•• formerAug 2, 2012 to Mar 15, 2016 · Irvine, Ca
- M••••• S•••••• wirehouseJun 1, 2009 to Dec 15, 2010 · New York, Ny
- M••••• S•••••• • C•• L•• unclassifiedDec 17, 2007 to Jun 1, 2009 · Los Angeles, Ca
- W•••• F•••• A••••••• to J••• M••••• S••••••••• L••left Aug 28, 2019, registered Mar 27, 2021 (577 days) · Wirehouse to wirehouse
- C••••• S••••• S••••••••• •••• L•• to W•••• F•••• A•••••••left Mar 15, 2016, registered Feb 29, 2016 (-15 days) · corporate re-registration, not a move
- M••••• S•••••• to C••••• S••••• S••••••••• •••• L••left Dec 15, 2010, registered Aug 2, 2012 (596 days) · Other
- M••••• S•••••• • C•• L•• to M••••• S••••••left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
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
- 23derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address