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.
R••• A•••••• H•••••
- B••• O•• C••••••• L•• independent RIA currentsince Mar 20, 2014 · Rancho Santa Fe, Ca
- C•••••• S••••• • C••• I••• national BDMay 5, 2010 to Jul 2, 2012 · Woodland Hills, Ca
- M••••• S•••••• wirehouseJun 1, 2009 to Apr 26, 2010 · Valencia, Ca
- M••••• S•••••• • C•• L•• unclassifiedJan 8, 2009 to Jun 1, 2009 · Valencia, Ca
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseMay 13, 2008 to Oct 21, 2008 · Beverly Hills, Ca
- C•••••• S••••• • C••• I••• to B••• O•• C••••••• L••left Jul 2, 2012, registered Mar 20, 2014 (626 days) · Affiliated broker-dealer or bank to independent RIA
- M••••• S•••••• to C•••••• S••••• • C••• I•••left Apr 26, 2010, registered May 5, 2010 (9 days) · Wirehouse to affiliated broker-dealer or bank
- M••••• S•••••• • C•• L•• to M••••• S••••••left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to M••••• S•••••• • C•• L••left Oct 21, 2008, registered Jan 8, 2009 (79 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
- Independent wealth managerderived
- Years in industry
- 18derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address