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.
S•••• P• G••••••
- L•• F•••••••• L•• BD affiliated currentsince Jan 4, 2024 · Los Alamitos, Ca
- W••••• F•••••••• S•••••••• L•• formerSep 14, 2015 to Jan 10, 2020 · Sherman Oaks, Ca
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseDec 20, 2011 to Jan 8, 2015 · Redondo Beach, Ca
- B••• O• A•••••• I••••••••• S•••••••• I••• unclassifiedJun 26, 2007 to Jul 21, 2009 · Torrance, Ca
- W••••• F•••••••• S•••••••• L•• to L•• F•••••••• L••left Jan 10, 2020, registered Jan 4, 2024 (1455 days) · RIA to affiliated broker-dealer or bank
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to W••••• F•••••••• S•••••••• L••left Jan 8, 2015, registered Sep 14, 2015 (249 days) · Wirehouse to independent RIA
- B••• O• A•••••• I••••••••• S•••••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Jul 21, 2009, registered Dec 20, 2011 (882 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 19derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address