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.
D••••• J••••••• G•••
- U•• F•••••••• S••••••• I••• wirehouse currentsince Sep 10, 2021 · Los Angeles, Ca
- D••••••• B••• S••••••••• I••• no RAUMMay 3, 2006 to Oct 5, 2021 · New York, Ny
- B••• O• A•••••• I••••••••• S•••••••• I••• unclassifiedFeb 10, 2005 to Apr 21, 2006 · Los Angeles, Ca
- D••••••• B••• S••••••••• I••• to U•• F•••••••• S••••••• I•••left Oct 5, 2021, registered Sep 10, 2021 (-25 days) · Affiliated broker-dealer or bank to wirehouse
- B••• O• A•••••• I••••••••• S•••••••• I••• to D••••••• B••• S••••••••• I•••left Apr 21, 2006, registered May 3, 2006 (12 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