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.
- S••• BD affiliated currentsince Jan 6, 2015 · Los Angeles, Ca
- R•• S••••••••• I••• BD affiliatedOct 17, 2013 to Sep 29, 2014 · Los Angeles, Ca
- B••• O• A•••••• I••••••••• S•••••••• I••• unclassifiedApr 15, 2004 to Nov 16, 2005 · Los Angeles, Ca
- W•••• F•••• I••••••••• L•• unclassifiedMar 5, 2003 to Apr 19, 2004 · Newport Beach, Ca
- R•• S••••••••• I••• to S•••left Sep 29, 2014, registered Jan 6, 2015 (99 days) · Other
- B••• O• A•••••• I••••••••• S•••••••• I••• to R•• S••••••••• I•••left Nov 16, 2005, registered Oct 17, 2013 (2892 days) · Other
- W•••• F•••• I••••••••• L•• to B••• O• A•••••• I••••••••• S•••••••• I•••left Apr 19, 2004, registered Apr 15, 2004 (-4 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