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.
A••••• R•••• T••
- J••• M••••• S••••••••• L•• wirehouse currentsince Oct 31, 2016 · Boca Raton, Fl
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseOct 20, 2014 to Oct 6, 2016 · Santa Clarita, Ca
- T••••••••• F•••••••• A•••••••• L•• BD affiliatedFeb 10, 2012 to Sep 16, 2014 · Los Angeles, Ca
- E•• F•••••••• A••••••• independent RIADec 8, 2009 to Sep 19, 2011 · Glendale, Ca
- A••••••• A••••••• S••••••• formerFeb 9, 2009 to Oct 19, 2009 · Glendale, Ca
- A••••••••• F•••••••• S•••••••• L•• national BDSep 9, 2005 to Jan 29, 2009 · Long Beach, Ca
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to J••• M••••• S••••••••• L••left Oct 6, 2016, registered Oct 31, 2016 (25 days) · Wirehouse to wirehouse · moved with a team
- T••••••••• F•••••••• A•••••••• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Sep 16, 2014, registered Oct 20, 2014 (34 days) · Other
- E•• F•••••••• A••••••• to T••••••••• F•••••••• A•••••••• L••left Sep 19, 2011, registered Feb 10, 2012 (144 days) · Other
- A••••••• A••••••• S••••••• to E•• F•••••••• A•••••••left Oct 19, 2009, registered Dec 8, 2009 (50 days) · Other
- A••••••••• F•••••••• S•••••••• L•• to A••••••• A••••••• S•••••••left Jan 29, 2009, registered Feb 9, 2009 (11 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