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.
R••••••• C•••••• H••••
- F••••• W••••• M••••••••• independent RIA currentsince Sep 3, 2009 · Chicago, Il
- L•• F•••••••• I••• formerSep 29, 2004 to Jul 31, 2009 · Los Angeles, Ca
- L••••• W••• C•••••• M••••••••• I••• unclassifiedJul 8, 2004 to Sep 30, 2004 · Los Angeles, Ca
- L•• F•••••••• I••• to F••••• W••••• M•••••••••left Jul 31, 2009, registered Sep 3, 2009 (34 days) · Other
- L••••• W••• C•••••• M••••••••• I••• to L•• F•••••••• I•••left Sep 30, 2004, registered Sep 29, 2004 (-1 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
- Independent wealth managerderived
- Years in industry
- 22derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address