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.
A•••• S••••••••
- U•• F•••••••• S••••••• I••• wirehouse currentsince Nov 29, 2012 · Beverly Hills, Ca
- D••••••• B••• S••••••••• I••• no RAUMDec 4, 2007 to Dec 5, 2012 · Los Angeles, Ca
- R•• C•••••• M••••••• L•• national BDMay 14, 2007 to Nov 21, 2007 · Beverly Hills, Ca
- W•••• F•••• I••••••••• L•• unclassifiedJun 21, 2006 to May 1, 2007 · Westlake Village, Ca
- P•••• S••••••••• L•• no RAUMNov 17, 2004 to Jun 19, 2006 · Sherman Oaks, Ca
- D••••••• B••• S••••••••• I••• to U•• F•••••••• S••••••• I•••left Dec 5, 2012, registered Nov 29, 2012 (-6 days) · Other
- R•• C•••••• M••••••• L•• to D••••••• B••• S••••••••• I•••left Nov 21, 2007, registered Dec 4, 2007 (13 days) · Other
- W•••• F•••• I••••••••• L•• to R•• C•••••• M••••••• L••left May 1, 2007, registered May 14, 2007 (13 days) · Other
- P•••• S••••••••• L•• to W•••• F•••• I••••••••• L••left Jun 19, 2006, registered Jun 21, 2006 (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
- Wirehousederived
- Years in industry
- 22derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address