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.
P••••• K••• H•• C••••
- W•••• F•••• A••••••• wirehouse currentsince Oct 12, 2023 · Pasadena, Ca
- L•• F•••••••• L•• BD affiliatedJul 19, 2023 to Oct 20, 2023 · Pasadena, Ca
- B••••••• I••••••••• S•••••••• I••• ••••• formerSep 25, 2015 to Jul 19, 2023 · Pasadena, Ca
- S•• BD affiliatedMar 5, 2012 to Sep 16, 2015 · Cerritos, Ca
- L•• F•••••••• L•• to W•••• F•••• A•••••••left Oct 20, 2023, registered Oct 12, 2023 (-8 days) · Affiliated broker-dealer or bank to wirehouse
- B••••••• I••••••••• S•••••••• I••• ••••• to L•• F•••••••• L••left Jul 19, 2023, registered Jul 19, 2023 (0 days) · corporate re-registration, not a move
- S•• to B••••••• I••••••••• S•••••••• I••• •••••left Sep 16, 2015, registered Sep 25, 2015 (9 days) · Other
- P••••• K••• H•• C•••• left L•• F•••••••• L•• for W•••• F•••• A••••••• (registered 2023-10-12)Oct 20, 2023 · Advisor changed firm · fact
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