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.
- L••• independent RIA currentsince Jun 13, 2023 · Los Angeles, Ca
- F•••• F••••••••• A••••••• independent RIAApr 1, 2013 to Jun 26, 2023 · Los Angeles, Ca
- U••• B•••••• A•••••••• L•• BD affiliatedDec 7, 2004 to Feb 22, 2012 · Los Angeles, Ca
- N••••••• T•••• S••••••••• I•• BD affiliatedApr 28, 2003 to Nov 1, 2004 · Los Angeles, Ca
- F•••• F••••••••• A••••••• to L•••left Jun 26, 2023, registered Jun 13, 2023 (-13 days) · RIA to RIA · moved with a team
- U••• B•••••• A•••••••• L•• to F•••• F••••••••• A•••••••left Feb 22, 2012, registered Apr 1, 2013 (404 days) · Other
- N••••••• T•••• S••••••••• I•• to U••• B•••••• A•••••••• L••left Nov 1, 2004, registered Dec 7, 2004 (36 days) · Other
- S••••• E••••• C••••••••• left F•••• F••••••••• A••••••• for Lido (registered 2023-06-13)Jun 26, 2023 · Advisor changed firm · fact
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
- 23derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address