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.
F•••••••• B• D•••••
- M•• I•••••••• S•••••••• L•• BD affiliated currentsince Feb 1, 2018 · Los Angeles, Ca
- N••••••••• M••••• I••••••••• S••••••••• no RAUMMar 2, 2009 to Jan 4, 2018 · Los Angeles, Ca
- B•• M••••• S••••••••• C••••••••• otherJul 2, 2007 to Dec 10, 2007 · Los Angeles, Ca
- M•••• L•• unclassifiedAug 17, 2005 to Jul 2, 2007 · Los Angeles, Ca
- B•• M••••• S••••••••• C••••••••• otherJun 12, 2003 to Jun 6, 2005 · New York, Ny
- N••••••••• M••••• I••••••••• S••••••••• to M•• I•••••••• S•••••••• L••left Jan 4, 2018, registered Feb 1, 2018 (28 days) · Other
- B•• M••••• S••••••••• C••••••••• to N••••••••• M••••• I••••••••• S•••••••••left Dec 10, 2007, registered Mar 2, 2009 (448 days) · Other
- M•••• L•• to B•• M••••• S••••••••• C•••••••••left Jul 2, 2007, registered Jul 2, 2007 (0 days) · Other
- B•• M••••• S••••••••• C••••••••• to M•••• L••left Jun 6, 2005, registered Aug 17, 2005 (72 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 23derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address