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•• C••••••• S••••••
- C•••••••• G••••• M•••••• I••• BD affiliated currentsince Aug 5, 2020 · Henderson, Nv
- W•••• F•••• A••••••• wirehouseOct 10, 2017 to Aug 5, 2020 · Woodland Hills, Ca
- O•••• F•• I••• formerAug 28, 2015 to Jul 14, 2016 · Westlake Village, Ca
- S••• BD affiliatedJun 1, 2015 to Jul 22, 2015 · Los Angeles, Ca
- J••• M••••• S••••••••• L•• wirehouseOct 1, 2012 to Nov 1, 2013 · San Fernando, Ca
- C•••• I••••••••• S••••••• C•••• formerSep 12, 2012 to Oct 1, 2012 · San Fernando, Ca
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseOct 24, 2008 to Mar 5, 2012 · Westlake Village, Ca
- W•••• F•••• A••••••• to C•••••••• G••••• M•••••• I•••left Aug 5, 2020, registered Aug 5, 2020 (0 days) · Wirehouse to affiliated broker-dealer or bank
- O•••• F•• I••• to W•••• F•••• A•••••••left Jul 14, 2016, registered Oct 10, 2017 (453 days) · Other
- S••• to O•••• F•• I•••left Jul 22, 2015, registered Aug 28, 2015 (37 days) · Other
- J••• M••••• S••••••••• L•• to S•••left Nov 1, 2013, registered Jun 1, 2015 (577 days) · Other
- C•••• I••••••••• S••••••• C•••• to J••• M••••• S••••••••• L••left Oct 1, 2012, registered Oct 1, 2012 (0 days) · corporate re-registration, not a move
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to C•••• I••••••••• S••••••• C••••left Mar 5, 2012, registered Sep 12, 2012 (191 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
- 17derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address