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.
K•• B••••••• S••••
- V•••• F•••••••• A•••••••• I••• BD affiliated currentsince Jun 10, 2014 · Fresno, Ca
- M••••• O• O•••• I••••••• S•••••••• I••• independent RIAMar 26, 2007 to Jun 13, 2014 · Los Angeles, Ca
- W•••••• I••••••••• S••••••••• formerSep 6, 2005 to May 10, 2006 · Pasadena, Ca
- C•••••••• G••••• M•••••• I••• BD affiliatedFeb 27, 2003 to Sep 16, 2005 · Fresno, Ca
- M••••• O• O•••• I••••••• S•••••••• I••• to V•••• F•••••••• A•••••••• I•••left Jun 13, 2014, registered Jun 10, 2014 (-3 days) · Other
- W•••••• I••••••••• S••••••••• to M••••• O• O•••• I••••••• S•••••••• I•••left May 10, 2006, registered Mar 26, 2007 (320 days) · Other
- C•••••••• G••••• M•••••• I••• to W•••••• I••••••••• S•••••••••left Sep 16, 2005, registered Sep 6, 2005 (-10 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