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••••• S•••••• wirehouse currentsince Mar 19, 2012 · Boston, Ma
- U•• F•••••••• S••••••• I••• wirehouseOct 24, 2007 to Jun 10, 2010 · Beverly Hills, Ca
- O••••••••• • C•• I••• BD affiliatedAug 27, 2007 to Oct 16, 2007 · Los Angeles, Ca
- A• G• E•••••• • S•••• I••• unclassifiedJun 5, 2006 to Jan 31, 2007 · Washington, Dc
- W•••• F•••• I••••••••• L•• unclassifiedJan 1, 2004 to Mar 22, 2006 · Beverly Hills, Ca
- U•• F•••••••• S••••••• I••• to M••••• S••••••left Jun 10, 2010, registered Mar 19, 2012 (648 days) · Wirehouse to wirehouse
- O••••••••• • C•• I••• to U•• F•••••••• S••••••• I•••left Oct 16, 2007, registered Oct 24, 2007 (8 days) · Other
- A• G• E•••••• • S•••• I••• to O••••••••• • C•• I•••left Jan 31, 2007, registered Aug 27, 2007 (208 days) · Other
- W•••• F•••• I••••••••• L•• to A• G• E•••••• • S•••• I•••left Mar 22, 2006, registered Jun 5, 2006 (75 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
- 22derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address