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.
- H••• I••••••••• state registered currentsince Oct 13, 2021 · Fort Worth, Tx
- S••••••••• A•••••• A•••••••• I••• formerJan 24, 2017 to Oct 19, 2021 · Hollywood, Ca
- L•• F•••••••• L•• BD affiliatedDec 14, 2011 to Jan 26, 2017 · Hollywood, Ca
- I••••• F•••••••• C••••••••• formerApr 4, 2008 to Dec 20, 2011 · Westlake Village, Ca
- C•••••• S••••• • C••• I••• national BDJul 25, 2005 to Dec 20, 2007 · Woodland Hill, Ca
- S••••••••• A•••••• A•••••••• I••• to H••• I•••••••••left Oct 19, 2021, registered Oct 13, 2021 (-6 days) · Affiliated broker-dealer or bank to a state-registered adviser
- L•• F•••••••• L•• to S••••••••• A•••••• A•••••••• I•••left Jan 26, 2017, registered Jan 24, 2017 (-2 days) · Other · moved with a team
- I••••• F•••••••• C••••••••• to L•• F•••••••• L••left Dec 20, 2011, registered Dec 14, 2011 (-6 days) · Other
- C•••••• S••••• • C••• I••• to I••••• F•••••••• C•••••••••left Dec 20, 2007, registered Apr 4, 2008 (106 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
- STATE REGISTEREDderived
- Years in industry
- 21derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address