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•••••••• T•••••• S•••••••••
- R•••••• J•••• • A••••••••• I••• national BD currentsince Feb 28, 2020 · Scottsdale, Az
- U••• I••••••••• S••••••• C•••••• no RAUMJan 8, 2018 to Mar 20, 2020 · San Antonio, Tx
- U••• F•••••••• P••••••• S••••••• formerJun 24, 2011 to Jan 8, 2018 · Los Angeles, Ca
- T• A••••••••• I••••••••• M••••••••• L•• formerSep 21, 2010 to May 18, 2011 · Pasadena, Ca
- T• A••••••••• I••• formerSep 21, 2010 to May 18, 2011 · Pasadena, Ca
- S•••••••• A••••••• L•• national BDMay 4, 2005 to Sep 15, 2010 · Pasadena, Ca
- M••••• S•••••• D• I••• unclassifiedJan 30, 2004 to Mar 25, 2005 · Woodland Hls, Ca
- U••• I••••••••• S••••••• C•••••• to R•••••• J•••• • A••••••••• I•••left Mar 20, 2020, registered Feb 28, 2020 (-21 days) · Affiliated broker-dealer or bank to another
- U••• F•••••••• P••••••• S••••••• to U••• I••••••••• S••••••• C••••••left Jan 8, 2018, registered Jan 8, 2018 (0 days) · corporate re-registration, not a move
- T• A••••••••• I••••••••• M••••••••• L•• to U••• F•••••••• P••••••• S•••••••left May 18, 2011, registered Jun 24, 2011 (37 days) · Other
- T• A••••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••left May 18, 2011, registered Sep 21, 2010 (-239 days) · channel change inside one enterprise, not a move
- S•••••••• A••••••• L•• to T• A••••••••• I•••left Sep 15, 2010, registered Sep 21, 2010 (6 days) · Affiliated broker-dealer or bank to a newly registered adviser
- M••••• S•••••• D• I••• to S•••••••• A••••••• L••left Mar 25, 2005, registered May 4, 2005 (40 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
- National broker-dealer RIAderived
- Years in industry
- 22derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address