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••••• P•••••••••
- C•••••••• G••••• M•••••• I••• BD affiliated currentsince Aug 18, 2017 · Thousand Oaks, Ca
- P•• A••••••• independent RIAJul 27, 2016 to Oct 2, 2017 · El Segundo, Ca
- L•• F•••••••• L•• BD affiliatedJun 15, 2016 to Aug 29, 2017 · El Segundo, Ca
- U••• B•••••• I••••••••• I••• formerJun 3, 2013 to Jun 17, 2016 · Tarzana, Ca
- H••• S••••••••• •••• I••• BD affiliatedMar 7, 2008 to Jun 6, 2013 · Santa Monica, Ca
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseMay 24, 2006 to Dec 20, 2007 · Santa Monica, Ca
- P•• A••••••• to C•••••••• G••••• M•••••• I•••left Oct 2, 2017, registered Aug 18, 2017 (-45 days) · Other
- L•• F•••••••• L•• to P•• A•••••••left Aug 29, 2017, registered Jul 27, 2016 (-398 days) · Other
- U••• B•••••• I••••••••• I••• to L•• F•••••••• L••left Jun 17, 2016, registered Jun 15, 2016 (-2 days) · Other
- H••• S••••••••• •••• I••• to U••• B•••••• I••••••••• I•••left Jun 6, 2013, registered Jun 3, 2013 (-3 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to H••• S••••••••• •••• I•••left Dec 20, 2007, registered Mar 7, 2008 (78 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 24derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address