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.
G• M••••• A••••
- V••• P•••••• W••••• L•• former currentsince May 19, 2020 · Pasadena, Ca
- C••••••• • C••• I••• formerOct 11, 2018 to Jun 5, 2020 · Pasadena, Ca
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseApr 21, 2006 to Oct 18, 2018 · Pasadena, Ca
- M••••• S•••••• D• I••• unclassifiedAug 22, 2005 to Apr 24, 2006 · Pasadena, Ca
- C••••••• • C••• I••• to V••• P•••••• W••••• L••left Jun 5, 2020, registered May 19, 2020 (-17 days) · Affiliated broker-dealer or bank to a newly registered adviser
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to C••••••• • C••• I•••left Oct 18, 2018, registered Oct 11, 2018 (-7 days) · Wirehouse to affiliated broker-dealer or bank
- M••••• S•••••• D• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Apr 24, 2006, registered Apr 21, 2006 (-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
- Former SEC-registered adviserderived
- Years in industry
- 21derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address