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.
J••• C••••• L• R•••
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse currentsince Aug 18, 2017 · Sherman Oaks, Ca
- C•••••••• G••••• M•••••• I••• BD affiliatedMay 23, 2008 to Apr 29, 2016 · Los Angeles, Ca
- W•••• F•••• A••••••• wirehouseAug 3, 2005 to Sep 18, 2007 · Miami, Fl
- A•••••• I••••••••• I••• independent RIAOct 10, 2002 to Aug 26, 2005 · Coral Gables, Fl
- C•••••••• G••••• M•••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Apr 29, 2016, registered Aug 18, 2017 (476 days) · Other · moved with a team
- W•••• F•••• A••••••• to C•••••••• G••••• M•••••• I•••left Sep 18, 2007, registered May 23, 2008 (248 days) · Other
- A•••••• I••••••••• I••• to W•••• F•••• A•••••••left Aug 26, 2005, registered Aug 3, 2005 (-23 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
- 24derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address