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.
P•••••• S• W•••••
- W••••• F•••••••• P••••••• state registered currentsince Sep 22, 2017 · Los Angeles, Ca
- S•••••••• A••••••• L•• national BDMay 22, 2008 to Feb 8, 2017 · El Segundo, Ca
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseSep 8, 2005 to Jul 5, 2006 · Los Angeles, Ca
- S•••••••• A••••••• L•• to W••••• F•••••••• P•••••••left Feb 8, 2017, registered Sep 22, 2017 (226 days) · Affiliated broker-dealer or bank to a state-registered adviser
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to S•••••••• A••••••• L••left Jul 5, 2006, registered May 22, 2008 (687 days) · Wirehouse to affiliated broker-dealer or bank
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
- STATE REGISTEREDderived
- Years in industry
- 21derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address