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.
A••••• B•••••••
- W•••• F•••• A••••••• wirehouse currentsince Jul 30, 2012 · Montrose, Ca
- C•••• I••••••••• S••••••• C•••• formerAug 13, 2009 to Aug 1, 2012 · La Crescenta, Ca
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseDec 1, 2007 to Feb 11, 2009 · Pasadena, Ca
- C•••• I••••••••• S••••••• C•••• to W•••• F•••• A•••••••left Aug 1, 2012, registered Jul 30, 2012 (-2 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to C•••• I••••••••• S••••••• C••••left Feb 11, 2009, registered Aug 13, 2009 (183 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
- 18derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address