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•••••• T••••• A••••
- R•••••• J•••• • A••••••••• I••• national BD currentsince Sep 6, 2016 · Los Angeles, Ca
- D••••••• B••• S••••••••• I••• no RAUMFeb 2, 2010 to Sep 6, 2016 · Los Angeles, Ca
- C••••••••• C••••••••• I••••••••• independent RIAMay 12, 2009 to Jan 21, 2010 · Newport Beach, Ca
- M••••• S•••••• • C•• L•• unclassifiedAug 7, 2007 to Jan 9, 2008 · Los Angeles, Ca
- D••••••• B••• S••••••••• I••• to R•••••• J•••• • A••••••••• I•••left Sep 6, 2016, registered Sep 6, 2016 (0 days) · corporate re-registration, not a move
- C••••••••• C••••••••• I••••••••• to D••••••• B••• S••••••••• I•••left Jan 21, 2010, registered Feb 2, 2010 (12 days) · Other
- M••••• S•••••• • C•• L•• to C••••••••• C••••••••• I•••••••••left Jan 9, 2008, registered May 12, 2009 (489 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
- National broker-dealer RIAderived
- Years in industry
- 19derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address