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.
P••••• L•• P•••••••••
- R••••••••• P••••••• O• A•••••• independent RIA currentsince Jul 15, 2016 · Plano, Tx
- L•••••••• C•••••• A•••••••• L•• state registeredDec 4, 2013 to Sep 16, 2014 · Ivins, Ut
- W•••••• O••••• • C•••••• no RAUMJan 27, 2010 to Dec 16, 2013 · Los Angeles, Ca
- W•••••• O••••• S••••••••• unclassifiedJun 6, 2008 to Feb 12, 2010 · Boston, Ma
- L•••••••• C•••••• A•••••••• L•• to R••••••••• P••••••• O• A••••••left Sep 16, 2014, registered Jul 15, 2016 (668 days) · Other
- W•••••• O••••• • C•••••• to L•••••••• C•••••• A•••••••• L••left Dec 16, 2013, registered Dec 4, 2013 (-12 days) · Other
- W•••••• O••••• S••••••••• to W•••••• O••••• • C••••••left Feb 12, 2010, registered Jan 27, 2010 (-16 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