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••••• V•••••
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse currentsince Jun 20, 2023 · Pasadena, Ca
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseOct 23, 2009 to May 20, 2011 · Los Angeles, Ca
- B••• O• A•••••• I••••••••• S•••••••• I••• unclassifiedJan 14, 2005 to Oct 23, 2009 · Los Angeles, Ca
- W•••• F•••• I••••••••• L•• unclassifiedOct 14, 2002 to Jan 4, 2005 · Newport Beach, Ca
- B••• O• A•••••• I••••••••• S•••••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Oct 23, 2009, registered Oct 23, 2009 (0 days) · corporate re-registration, not a move
- W•••• F•••• I••••••••• L•• to B••• O• A•••••• I••••••••• S•••••••• I•••left Jan 4, 2005, registered Jan 14, 2005 (10 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
- 23derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address