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.
M••••• S•••••• S••••••
- U•• F•••••••• S••••••• I••• wirehouse currentsince Sep 30, 2021 · Los Angeles, Ca
- O•• C•••••• M••••••••• L•• independent RIAMay 23, 2018 to May 1, 2020 · Westlake Village, Ca
- A••••••••• I••• BD affiliatedApr 28, 2008 to May 14, 2018 · Chicago, Il
- U••• B•••••• I••••••••• I••• formerDec 18, 2006 to Feb 4, 2008 · Rockford, Il
- O•• C•••••• M••••••••• L•• to U•• F•••••••• S••••••• I•••left May 1, 2020, registered Sep 30, 2021 (517 days) · RIA to wirehouse
- A••••••••• I••• to O•• C•••••• M••••••••• L••left May 14, 2018, registered May 23, 2018 (9 days) · Affiliated broker-dealer or bank to independent RIA
- U••• B•••••• I••••••••• I••• to A••••••••• I•••left Feb 4, 2008, registered Apr 28, 2008 (84 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
- 20derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address