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•••••• C•••••• M••••••••
- F••••• I••••••••• independent RIA currentsince May 8, 2018 · Westerville, Oh
- A••••• A•• P••••••• S••••••• BD affiliatedJul 30, 2014 to Apr 4, 2018 · Sherman Oaks, Ca
- E•••••• C•••••• M••••••••• L•• formerNov 26, 2013 to Jul 23, 2014 · Arlington, Va
- S•••••••• A••••••• L•• national BDApr 9, 2007 to May 24, 2013 · Redondo Beach, Ca
- A••••• A•• P••••••• S••••••• to F••••• I•••••••••left Apr 4, 2018, registered May 8, 2018 (34 days) · Affiliated broker-dealer or bank to independent RIA
- E•••••• C•••••• M••••••••• L•• to A••••• A•• P••••••• S•••••••left Jul 23, 2014, registered Jul 30, 2014 (7 days) · Other
- S•••••••• A••••••• L•• to E•••••• C•••••• M••••••••• L••left May 24, 2013, registered Nov 26, 2013 (186 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