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.
K•••••••• E••• E•••••
- H•••••• S••••••••• I••• BD affiliated currentsince Mar 21, 2022 · Sherman Oaks, Ca
- D••• D••••••• • C•• independent RIANov 25, 2013 to Mar 22, 2022 · Big Bear Lake, Ca
- C•••••• W••••• • C•• formerNov 4, 2013 to Nov 25, 2013 · Big Bear Lake, Ca
- C••••••• W••••• • C•• formerJul 1, 2011 to Nov 4, 2013 · Big Bear Lake, Ca
- S•••• • Y•••••••• L•• formerJan 16, 2007 to Jun 30, 2011 · Los Angeles, Ca
- D••• D••••••• • C•• to H•••••• S••••••••• I•••left Mar 22, 2022, registered Mar 21, 2022 (-1 days) · RIA to affiliated broker-dealer or bank
- C•••••• W••••• • C•• to D••• D••••••• • C••left Nov 25, 2013, registered Nov 25, 2013 (0 days) · corporate re-registration, not a move
- C••••••• W••••• • C•• to C•••••• W••••• • C••left Nov 4, 2013, registered Nov 4, 2013 (0 days) · corporate re-registration, not a move
- S•••• • Y•••••••• L•• to C••••••• W••••• • C••left Jun 30, 2011, registered Jul 1, 2011 (1 days) · Other
- K•••••••• E••• E••••• left D••• D••••••• • C•• for H•••••• S••••••••• I••• (registered 2022-03-21)Mar 22, 2022 · Advisor changed firm · fact
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