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.
M•••••• A•••••• P•••••
- C•••••• S••••• • C••• I••• national BD currentsince Jan 26, 2022 · Los Angeles, Ca
- T• A••••••••• I••••••••• M••••••••• L•• formerJul 1, 2014 to Sep 7, 2023 · Santa Monica, Ca
- T• A••••••••• I••• formerJul 1, 2014 to Oct 14, 2022 · Los Angeles, Ca
- N•• E•••••• S••••••••• C••••••••• formerJun 17, 2010 to Jun 9, 2014 · Woodland Hills, Ca
- B••• O• A•••••• I••••••••• S•••••••• I••• unclassifiedMar 18, 2008 to Mar 26, 2009 · Los Angeles, Ca
- P••••••• C•••••• A•••••••• L•• unclassifiedAug 30, 2005 to Jan 31, 2008 · San Francisco, Ca
- M••••• S•••••• D• I••• unclassifiedFeb 5, 2002 to Aug 29, 2005 · Beverly Hls, Ca
- T• A••••••••• I••••••••• M••••••••• L•• to C•••••• S••••• • C••• I•••left Sep 7, 2023, registered Jan 26, 2022 (-589 days) · corporate re-registration, not a move
- T• A••••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••left Oct 14, 2022, registered Jul 1, 2014 (-3027 days) · corporate re-registration, not a move
- N•• E•••••• S••••••••• C••••••••• to T• A••••••••• I•••left Jun 9, 2014, registered Jul 1, 2014 (22 days) · Other
- B••• O• A•••••• I••••••••• S•••••••• I••• to N•• E•••••• S••••••••• C•••••••••left Mar 26, 2009, registered Jun 17, 2010 (448 days) · Other
- P••••••• C•••••• A•••••••• L•• to B••• O• A•••••• I••••••••• S•••••••• I•••left Jan 31, 2008, registered Mar 18, 2008 (47 days) · Other
- M••••• S•••••• D• I••• to P••••••• C•••••• A•••••••• L••left Aug 29, 2005, registered Aug 30, 2005 (1 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
- National broker-dealer RIAderived
- Years in industry
- 25derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address