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.
B•••••• L•• J••••••
- U••• B•••••• A•••••••• L•• BD affiliated currentsince May 4, 2015 · Beverly Hills, Ca
- C•••••••• G••••• M•••••• I••• BD affiliatedOct 1, 2013 to May 7, 2015 · Los Angeles, Ca
- B••••••• I••••••••• S•••••••• I••• ••••• formerMay 16, 2011 to Oct 11, 2013 · Glendale, Ca
- A••••••••• F•••••••• S•••••••• L•• national BDOct 20, 2004 to May 13, 2011 · Glendale, Ca
- C•••••••• G••••• M•••••• I••• to U••• B•••••• A•••••••• L••left May 7, 2015, registered May 4, 2015 (-3 days) · Other · moved with a team
- B••••••• I••••••••• S•••••••• I••• ••••• to C•••••••• G••••• M•••••• I•••left Oct 11, 2013, registered Oct 1, 2013 (-10 days) · Other
- A••••••••• F•••••••• S•••••••• L•• to B••••••• I••••••••• S•••••••• I••• •••••left May 13, 2011, registered May 16, 2011 (3 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
- 21derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address