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.
D••••• C• F••
- C••••• P••••••• L•• independent RIA currentsince Sep 5, 2024 · New York, Ny
- F•••• F••••••••• A••••••• independent RIAMar 25, 2017 to Sep 4, 2024 · Irvine, Ca
- M••••• S•••••• wirehouseJun 1, 2009 to Nov 11, 2009 · Purchase, Ny
- C•••••••• G••••• M•••••• I••• BD affiliatedJan 15, 2009 to Jun 1, 2009 · Los Angeles, Ca
- F•••• F••••••••• A••••••• to C••••• P••••••• L••left Sep 4, 2024, registered Sep 5, 2024 (1 days) · RIA to RIA · moved with a team
- M••••• S•••••• to F•••• F••••••••• A•••••••left Nov 11, 2009, registered Mar 25, 2017 (2691 days) · Other
- C•••••••• G••••• M•••••• I••• to M••••• S••••••left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
- D••••• C• F•• left F•••• F••••••••• A••••••• for C••••• P••••••• L•• (registered 2024-09-05)Sep 4, 2024 · 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
- 17derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address