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••• K• C•••••
- A••••••• S••••••• N•••••• independent RIA currentsince Feb 7, 2014 · Pasadena, Ca
- P••••• P•••••• C•••••• M••••••••• L•• formerNov 26, 2007 to Jan 23, 2014 · P••••••A, Ca
- P•••••• F•••••••• M••••••••• I•• formerNov 29, 2006 to Nov 27, 2007 · Phoenix, Az
- T••••••••• C•••••• M••••••••• unclassifiedNov 22, 2004 to Sep 17, 2008 · Glendale, Ca
- P••••• P•••••• C•••••• M••••••••• L•• to A••••••• S••••••• N••••••left Jan 23, 2014, registered Feb 7, 2014 (15 days) · Other
- T••••••••• C•••••• M••••••••• to P•••••• F•••••••• M••••••••• I••left Sep 17, 2008, registered Nov 29, 2006 (-658 days) · Other
- P•••••• F•••••••• M••••••••• I•• to P••••• P•••••• C•••••• M••••••••• L••left Nov 27, 2007, registered Nov 26, 2007 (-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