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.
M••• G•••••••••
- S••••••••• R••••••••• P••••••• no RAUM currentsince Mar 7, 2018 · Irvine, Ca
- B••••••••• W••••• A•••••••• L•• no RAUMJan 11, 2016 to Apr 11, 2018 · Los Angeles, Ca
- R•• W••••• L•• independent RIAAug 6, 2013 to Jan 4, 2016 · Los Angeles, Ca
- A••••••• F•••••••• A•••••••• L•• BD affiliatedDec 9, 2011 to Aug 31, 2012 · Los Angeles, Ca
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseMay 17, 2005 to Jul 7, 2010 · Beverly Hills, Ca
- B••••••••• W••••• A•••••••• L•• to S••••••••• R••••••••• P•••••••left Apr 11, 2018, registered Mar 7, 2018 (-35 days) · RIA to a newly registered adviser
- R•• W••••• L•• to B••••••••• W••••• A•••••••• L••left Jan 4, 2016, registered Jan 11, 2016 (7 days) · Other
- A••••••• F•••••••• A•••••••• L•• to R•• W••••• L••left Aug 31, 2012, registered Aug 6, 2013 (340 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to A••••••• F•••••••• A•••••••• L••left Jul 7, 2010, registered Dec 9, 2011 (520 days) · Wirehouse to a newly registered adviser (no RAUM reported yet)
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
- No RAUM reportedderived
- Years in industry
- 21derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address