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••••• Q•••••
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse currentsince Jul 6, 2012 · Ontario, Ca
- O•••••• G•••• L•• institutionalFeb 9, 2005 to Nov 15, 2010 · Hermosa Beach, Ca
- B•• G•••• L•• formerJun 23, 2003 to Jan 20, 2005 · Los Angeles, Ca
- B•• G•••• L•• formerMay 22, 2001 to May 5, 2003 · Los Angeles, Ca
- O•••••• G•••• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Nov 15, 2010, registered Jul 6, 2012 (599 days) · Other
- B•• G•••• L•• to O•••••• G•••• L••left Jan 20, 2005, registered Feb 9, 2005 (20 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
- 25derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address