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.
S•••• H•••••• F••••
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse currentsince Jan 13, 2009 · Las Vegas, Nv
- M••••• S•••••• • C•• L•• unclassifiedApr 2, 2007 to Jan 14, 2009 · Rancho Sante Fe, Ca
- M••••• S•••••• D• I••• unclassifiedJun 29, 2006 to Apr 2, 2007 · Rancho Sante Fe, Ca
- J••• M••••• S••••••••• L•• wirehouseMar 31, 2004 to Apr 24, 2006 · Los Angeles, Ca
- M••••• S•••••• • C•• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Jan 14, 2009, registered Jan 13, 2009 (-1 days) · Other
- M••••• S•••••• D• I••• to M••••• S•••••• • C•• L••left Apr 2, 2007, registered Apr 2, 2007 (0 days) · corporate re-registration, not a move
- J••• M••••• S••••••••• L•• to M••••• S•••••• D• I•••left Apr 24, 2006, registered Jun 29, 2006 (66 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
- Wirehousederived
- Years in industry
- 22derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address