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.
G••••• N•••••••
- V•••• C•••••• P•••••••• L•• independent RIA currentsince Feb 3, 2023 · Scottsdale, Az
- P•••••••• A••••••• national BDAug 20, 2020 to Sep 24, 2020 · Woodland Hills, Ca
- V•••• C•••••• P•••••••• L•• independent RIAJun 12, 2015 to Aug 22, 2018 · Northridge, Ca
- U••• B•••••• I••••••••• I••• formerNov 16, 2010 to Jun 12, 2015 · Northridge, Ca
- C•••• I••••••••• S••••••• C•••• formerMay 2, 2009 to Nov 12, 2010 · Glendale, Ca
- W••• I••••••••• I••• unclassifiedMay 17, 2006 to May 2, 2009 · Burbank, Ca
- P•••••••• A••••••• to V•••• C•••••• P•••••••• L••left Sep 24, 2020, registered Feb 3, 2023 (862 days) · Affiliated broker-dealer or bank to independent RIA
- V•••• C•••••• P•••••••• L•• to P•••••••• A•••••••left Aug 22, 2018, registered Aug 20, 2020 (729 days) · RIA to affiliated broker-dealer or bank
- U••• B•••••• I••••••••• I••• to V•••• C•••••• P•••••••• L••left Jun 12, 2015, registered Jun 12, 2015 (0 days) · Other
- C•••• I••••••••• S••••••• C•••• to U••• B•••••• I••••••••• I•••left Nov 12, 2010, registered Nov 16, 2010 (4 days) · Other
- W••• I••••••••• I••• to C•••• I••••••••• S••••••• C••••left May 2, 2009, registered May 2, 2009 (0 days) · corporate re-registration, not a move
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
- Independent wealth managerderived
- Years in industry
- 23derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address