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.
Z•••••• H••••
- J••• M••••• S••••••••• L•• wirehouse currentsince Dec 12, 2017 · Los Angeles, Ca
- S•••••••• I••••••••• M••••••••• formerJan 27, 2017 to Dec 12, 2017 · Saint Louis, Mo
- T• A••••••••• I••••••••• M••••••••• L•• formerJul 17, 2014 to Jun 21, 2016 · Beverly Hills, Ca
- T• A••••••••• I••• formerJul 17, 2014 to Jun 21, 2016 · Beverly Hills, Ca
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseMar 6, 2012 to Jul 2, 2014 · Los Angeles, Ca
- E•••••• C•••••• M••••••••• L•• formerDec 23, 2009 to Feb 28, 2012 · Arlington, Va
- A••••••••• F•••••••• S•••••••• L•• national BDSep 8, 2004 to Oct 19, 2009 · Riverside, Ca
- S•••••••• I••••••••• M••••••••• to J••• M••••• S••••••••• L••left Dec 12, 2017, registered Dec 12, 2017 (0 days) · Affiliated broker-dealer or bank to wirehouse · moved with a team
- T• A••••••••• I••••••••• M••••••••• L•• to S•••••••• I••••••••• M•••••••••left Jun 21, 2016, registered Jan 27, 2017 (220 days) · Other
- T• A••••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••left Jun 21, 2016, registered Jul 17, 2014 (-705 days) · channel change inside one enterprise, not a move · moved with a team
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to T• A••••••••• I•••left Jul 2, 2014, registered Jul 17, 2014 (15 days) · Other
- E•••••• C•••••• M••••••••• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Feb 28, 2012, registered Mar 6, 2012 (7 days) · Other
- A••••••••• F•••••••• S•••••••• L•• to E•••••• C•••••• M••••••••• L••left Oct 19, 2009, registered Dec 23, 2009 (65 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