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••••• D••• S•••••••
- W•••••• S••••••••• I••• BD affiliated currentsince Sep 6, 2019 · New York, Ny
- H••• S••••••••• •••• I••• BD affiliatedSep 19, 2013 to Apr 4, 2019 · San Francisco, Ca
- H••• S••••••••• •••• I••• BD affiliatedSep 17, 2008 to Oct 2, 2009 · Encino, Ca
- C•••••••• G••••• M•••••• I••• BD affiliatedMay 29, 2007 to Sep 8, 2008 · Glendale, Ca
- C••••••• I••••••••• S••••••• unclassifiedMay 8, 2003 to May 29, 2007 · Pasadena, Ca
- H••• S••••••••• •••• I••• to W•••••• S••••••••• I•••left Apr 4, 2019, registered Sep 6, 2019 (155 days) · Affiliated broker-dealer or bank to another
- C•••••••• G••••• M•••••• I••• to H••• S••••••••• •••• I•••left Sep 8, 2008, registered Sep 17, 2008 (9 days) · Other
- C••••••• I••••••••• S••••••• to C•••••••• G••••• M•••••• I•••left May 29, 2007, registered May 29, 2007 (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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 25derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address