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.
N••••••• G•••• B••••••
- A•••• W••••• A•••••••• L•• BD affiliated currentsince Jan 15, 2021 · Arroyo Grande, Ca
- W•••• F•••• A••••••• wirehouseJan 3, 2011 to Jan 27, 2021 · Studio City, Ca
- W•••• F•••• I••••••••• L•• unclassifiedOct 21, 2010 to Jan 3, 2011 · Studio City, Ca
- W•••• F•••• I••••••••• L•• unclassifiedApr 24, 2006 to Nov 4, 2009 · Tarzana, Ca
- W•••• F•••• A••••••• to A•••• W••••• A•••••••• L••left Jan 27, 2021, registered Jan 15, 2021 (-12 days) · Wirehouse to affiliated broker-dealer or bank
- W•••• F•••• I••••••••• L•• to W•••• F•••• A•••••••left Jan 3, 2011, registered Jan 3, 2011 (0 days) · corporate re-registration, not a move
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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 20derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address