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••• G••••• L•••
- A••••• W••••• P••••••• independent RIA currentsince Aug 27, 2013 · Santa Monica, Ca
- L••• F•••••••• P•••••••• L•• unclassifiedDec 8, 2009 to Aug 2, 2013 · Encino, Ca
- G••••••••• F•••••••• C••••••••• I••• formerJun 5, 2006 to Jul 1, 2009 · Los Angeles, Ca
- L••• F•••••••• P•••••••• L•• to A••••• W••••• P•••••••left Aug 2, 2013, registered Aug 27, 2013 (25 days) · Other
- G••••••••• F•••••••• C••••••••• I••• to L••• F•••••••• P•••••••• L••left Jul 1, 2009, registered Dec 8, 2009 (160 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
- 20derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address