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.
S••• P•••••• E••••••••
- U•• F•••••••• S••••••• I••• wirehouse currentsince Nov 29, 2012 · San Francisco, Ca
- D••••••• B••• S••••••••• I••• no RAUMSep 7, 2007 to Dec 5, 2012 · Los Angeles, Ca
- C•••••••• G••••• M•••••• I••• BD affiliatedNov 14, 2002 to Sep 11, 2007 · Los Angeles, Ca
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseJun 8, 2001 to Nov 20, 2002 · Beverly Hills, Ca
- D••••••• B••• S••••••••• I••• to U•• F•••••••• S••••••• I•••left Dec 5, 2012, registered Nov 29, 2012 (-6 days) · Other
- C•••••••• G••••• M•••••• I••• to D••••••• B••• S••••••••• I•••left Sep 11, 2007, registered Sep 7, 2007 (-4 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to C•••••••• G••••• M•••••• I•••left Nov 20, 2002, registered Nov 14, 2002 (-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
- Wirehousederived
- Years in industry
- 25derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address