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.
E••• H••••• B•••••
- M•• I•••••••• S•••••••• L•• BD affiliated currentsince May 26, 2017 · Los Angeles, Ca
- C•••••• S••••• • C••• I••• national BDJun 7, 2013 to May 5, 2017 · Thousand Oaks, Ca
- N•• E•••••• S••••••••• C••••••••• formerSep 30, 2011 to May 7, 2013 · Woodland Hills, Ca
- C••••••••• C•••••• M••••••••• L•• unclassifiedApr 15, 2011 to Aug 18, 2011 · Los Angeles, Ca
- C•••• I••••••••• S••••••• C•••• formerMar 11, 2010 to Jan 14, 2011 · Fountain Valley, Ca
- M•• F•••••••• S•••••••• I••• formerNov 30, 2005 to Jul 20, 2009 · Irvine, Ca
- A••••••••• F•••••••• S•••••••• L•• national BDSep 20, 2004 to Dec 2, 2005 · Irvine, Ca
- C•••••• S••••• • C••• I••• to M•• I•••••••• S•••••••• L••left May 5, 2017, registered May 26, 2017 (21 days) · Other
- N•• E•••••• S••••••••• C••••••••• to C•••••• S••••• • C••• I•••left May 7, 2013, registered Jun 7, 2013 (31 days) · Other
- C••••••••• C•••••• M••••••••• L•• to N•• E•••••• S••••••••• C•••••••••left Aug 18, 2011, registered Sep 30, 2011 (43 days) · Other
- C•••• I••••••••• S••••••• C•••• to C••••••••• C•••••• M••••••••• L••left Jan 14, 2011, registered Apr 15, 2011 (91 days) · Other
- M•• F•••••••• S•••••••• I••• to C•••• I••••••••• S••••••• C••••left Jul 20, 2009, registered Mar 11, 2010 (234 days) · Other
- A••••••••• F•••••••• S•••••••• L•• to M•• F•••••••• S•••••••• I•••left Dec 2, 2005, registered Nov 30, 2005 (-2 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 22derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address