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.
K••••••• L••
- J••• M••••• S••••••••• L•• wirehouse currentsince May 13, 2013 · Walnut, Ca
- U••• B•••••• A•••••••• L•• BD affiliatedJul 23, 2012 to Apr 22, 2013 · San Gabriel, Ca
- C•••• I••••••••• S••••••• C•••• formerOct 12, 2011 to Jun 5, 2012 · Hacienda Heights, Ca
- U••• B•••••• A•••••••• L•• to J••• M••••• S••••••••• L••left Apr 22, 2013, registered May 13, 2013 (21 days) · Other
- C•••• I••••••••• S••••••• C•••• to U••• B•••••• A•••••••• L••left Jun 5, 2012, registered Jul 23, 2012 (48 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