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.
C••••• L•••••• D••••••
- M••••• S•••••• wirehouse currentsince Mar 17, 2016 · Los Angeles, Ca
- S•••••••• W•••••• L•• independent RIAJul 25, 2014 to Nov 18, 2015 · Los Angeles, Ca
- M••••• S•••••• wirehouseJun 1, 2009 to Apr 14, 2014 · Woodland Hills, Ca
- M••••• S•••••• • C•• L•• unclassifiedApr 29, 2008 to Jun 1, 2009 · Woodland Hills, Ca
- W•••• F•••• A••••••• wirehouseJul 11, 2007 to Nov 8, 2007 · Woodland Hills, Ca
- S•••••••• W•••••• L•• to M••••• S••••••left Nov 18, 2015, registered Mar 17, 2016 (120 days) · Other
- M••••• S•••••• to S•••••••• W•••••• L••left Apr 14, 2014, registered Jul 25, 2014 (102 days) · Other
- M••••• S•••••• • C•• L•• to M••••• S••••••left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
- W•••• F•••• A••••••• to M••••• S•••••• • C•• L••left Nov 8, 2007, registered Apr 29, 2008 (173 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
- 21derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address