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••• J•••• I••••
- R•• R•••••••• L•• BD affiliated currentsince Jan 5, 2017 · Beverly Hills, Ca
- R•• S••••••••• I••• BD affiliatedFeb 4, 2014 to Jan 4, 2017 · Los Angeles, Ca
- N••••••••• M••••• I••••••••• S••••••••• no RAUMAug 8, 2013 to Jan 28, 2014 · Los Angeles, Ca
- M•••••• I••••••••• A••••••• L•• unclassifiedSep 19, 2012 to Jan 17, 2013 · Beverly Hills, Ca
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseJan 26, 2011 to Apr 17, 2012 · Encino, Ca
- R•• S••••••••• I••• to R•• R•••••••• L••left Jan 4, 2017, registered Jan 5, 2017 (1 days) · Other
- N••••••••• M••••• I••••••••• S••••••••• to R•• S••••••••• I•••left Jan 28, 2014, registered Feb 4, 2014 (7 days) · Other
- M•••••• I••••••••• A••••••• L•• to N••••••••• M••••• I••••••••• S•••••••••left Jan 17, 2013, registered Aug 8, 2013 (203 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to M•••••• I••••••••• A••••••• L••left Apr 17, 2012, registered Sep 19, 2012 (155 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
- 16derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address