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.
C••••••••• G•••••••• G•••••••••
- F••• O••••• A••••••• independent RIA currentsince Sep 4, 2020 · Santa Monica, Ca
- A••••••••• L•• formerMar 21, 2018 to Jun 1, 2020 · Los Angeles, Ca
- E••••••••• W••••• M••••••••• L•• unclassifiedJun 29, 2015 to Mar 1, 2018 · Santa Monica, Ca
- M••••••• W••••• M••••••••• L•• unclassifiedAug 26, 2013 to Feb 28, 2015 · Encinitas, Ca
- B••••••••• S•••••••• W•••••• L•• formerAug 10, 2011 to Jun 6, 2013 · St Louis, Mo
- P•• W••••• M••••••••• BD affiliatedAug 31, 2010 to Aug 2, 2011 · Belleville, Il
- A••••••••• L•• to F••• O••••• A•••••••left Jun 1, 2020, registered Sep 4, 2020 (95 days) · RIA to RIA
- E••••••••• W••••• M••••••••• L•• to A••••••••• L••left Mar 1, 2018, registered Mar 21, 2018 (20 days) · Other
- M••••••• W••••• M••••••••• L•• to E••••••••• W••••• M••••••••• L••left Feb 28, 2015, registered Jun 29, 2015 (121 days) · Other
- B••••••••• S•••••••• W•••••• L•• to M••••••• W••••• M••••••••• L••left Jun 6, 2013, registered Aug 26, 2013 (81 days) · Other
- P•• W••••• M••••••••• to B••••••••• S•••••••• W•••••• L••left Aug 2, 2011, registered Aug 10, 2011 (8 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
- Independent wealth managerderived
- Years in industry
- 20derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address