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•••• M•••••• D••••••
- B••••••••• C•••••• M••••••••• L•• independent RIA currentsince Jan 11, 2018 · Glendale, Ca
- C••••••••• W••••• M••••••••• L•• unclassifiedMay 28, 2015 to Nov 25, 2015 · Glendale, Ca
- D•••••• • L•••• L•• unclassifiedJan 8, 2007 to Jan 4, 2008 · Glendale, Ca
- W•••••• I••••••••• S••••••••• formerNov 15, 2006 to Jan 16, 2018 · Pasadena, Ca
- W•••••• I••••••••• S••••••••• to D•••••• • L•••• L••left Jan 16, 2018, registered Jan 8, 2007 (-4026 days) · Other
- C••••••••• W••••• M••••••••• L•• to B••••••••• C•••••• M••••••••• L••left Nov 25, 2015, registered Jan 11, 2018 (778 days) · Other
- D•••••• • L•••• L•• to C••••••••• W••••• M••••••••• L••left Jan 4, 2008, registered May 28, 2015 (2701 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
- Independent wealth managerderived
- Years in industry
- 35derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address