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.
- M••••• S•••••• wirehouse currentsince May 5, 2023 · Los Angeles, Ca
- U•• F•••••••• S••••••• I••• wirehouseFeb 28, 2013 to May 16, 2023 · Los Angeles, Ca
- D••••••• B••• S••••••••• I••• no RAUMJun 16, 2005 to Mar 8, 2013 · Los Angeles, Ca
- B••• O• A•••••• I••••••••• S•••••••• I••• unclassifiedAug 10, 2004 to Jun 13, 2005 · Los Angeles, Ca
- U•• F•••••••• S••••••• I••• to M••••• S••••••left May 16, 2023, registered May 5, 2023 (-11 days) · Wirehouse to wirehouse · moved with a team
- D••••••• B••• S••••••••• I••• to U•• F•••••••• S••••••• I•••left Mar 8, 2013, registered Feb 28, 2013 (-8 days) · Other
- B••• O• A•••••• I••••••••• S•••••••• I••• to D••••••• B••• S••••••••• I•••left Jun 13, 2005, registered Jun 16, 2005 (3 days) · Other
- T••••• H•••• left U•• F•••••••• S••••••• I••• for M••••• S•••••• (registered 2023-05-05)May 16, 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