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••••••••• S•••••
- W•••• F•••• A••••••• wirehouse currentsince May 6, 2016 · Thousand Oaks, Ca
- U••• B•••••• I••••••••• I••• formerJul 14, 2011 to May 10, 2016 · Los Angeles, Ca
- C••••• I••••••••• S••••••• L•• formerApr 13, 2007 to Jun 2, 2011 · Santa Monica, Ca
- W••• I••••••••• I••• unclassifiedSep 28, 2006 to Apr 3, 2007 · Studio City, Ca
- U••• B•••••• I••••••••• I••• to W•••• F•••• A•••••••left May 10, 2016, registered May 6, 2016 (-4 days) · Other
- C••••• I••••••••• S••••••• L•• to U••• B•••••• I••••••••• I•••left Jun 2, 2011, registered Jul 14, 2011 (42 days) · Other
- W••• I••••••••• I••• to C••••• I••••••••• S••••••• L••left Apr 3, 2007, registered Apr 13, 2007 (10 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
- 19derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address