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.
B•••• W•••
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse currentsince Nov 13, 2017 · Seal Beach, Ca
- J••• M••••• S••••••••• L•• wirehouseJul 1, 2015 to Oct 31, 2017 · Los Angeles, Ca
- B••••••• C•••••• I••• formerMay 22, 2012 to Jul 15, 2015 · Los Angeles, Ca
- J••• M••••• S••••••••• L•• wirehouseApr 20, 2009 to May 25, 2012 · Los Angeles, Ca
- C•••••••• G••••• M•••••• I••• BD affiliatedApr 17, 2007 to May 8, 2009 · El Segundo, Ca
- W•••• F•••• I••••••••• L•• unclassifiedDec 5, 2006 to Apr 16, 2007 · Los Angeles, Ca
- J••• M••••• S••••••••• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Oct 31, 2017, registered Nov 13, 2017 (13 days) · Wirehouse to wirehouse
- B••••••• C•••••• I••• to J••• M••••• S••••••••• L••left Jul 15, 2015, registered Jul 1, 2015 (-14 days) · Other
- J••• M••••• S••••••••• L•• to B••••••• C•••••• I•••left May 25, 2012, registered May 22, 2012 (-3 days) · Other
- C•••••••• G••••• M•••••• I••• to J••• M••••• S••••••••• L••left May 8, 2009, registered Apr 20, 2009 (-18 days) · Other
- W•••• F•••• I••••••••• L•• to C•••••••• G••••• M•••••• I•••left Apr 16, 2007, registered Apr 17, 2007 (1 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