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.
E••• D•••• H•••••••
- H••••••• I•••••••• • F•••••••• S•••••••• I••• former currentsince Jan 23, 2014 · Burbank, Ca
- N•• E•••••• S••••••••• C••••••••• formerDec 21, 2011 to Feb 27, 2014 · Phoenix, Az
- M•• I•••••••• S•••••••• L•• BD affiliatedJan 2, 2003 to Dec 23, 2011 · Los Angeles, Ca
- N•• E•••••• S••••••••• C••••••••• to H••••••• I•••••••• • F•••••••• S•••••••• I•••left Feb 27, 2014, registered Jan 23, 2014 (-35 days) · Other
- M•• I•••••••• S•••••••• L•• to N•• E•••••• S••••••••• C•••••••••left Dec 23, 2011, registered Dec 21, 2011 (-2 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
- Former SEC-registered adviserderived
- Years in industry
- 23derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address