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.
F•••• M•••••••••
- T•• A•••••••• I••• BD affiliated currentsince Oct 22, 2021 · Woodland Hills, Ca
- I••••••••• F•••••••• G••••• L•• BD affiliatedNov 5, 2019 to Dec 23, 2020 · Woodland Hills, Ca
- M•••••••• • A••••••••• W••••• S••••••••• unclassifiedJul 19, 2016 to Oct 27, 2019 · Woodland Hills, Ca
- W•••••• • R••• formerJun 8, 2015 to Aug 13, 2015 · Las Vegas, Nv
- M•••••••• • A••••••••• W••••• S••••••••• unclassifiedJan 16, 2013 to Mar 31, 2015 · Los Angeles, Ca
- I••••••••• F•••••••• G••••• L•• to T•• A•••••••• I•••left Dec 23, 2020, registered Oct 22, 2021 (303 days) · RIA to affiliated broker-dealer or bank
- M•••••••• • A••••••••• W••••• S••••••••• to I••••••••• F•••••••• G••••• L••left Oct 27, 2019, registered Nov 5, 2019 (9 days) · Other
- W•••••• • R••• to M•••••••• • A••••••••• W••••• S•••••••••left Aug 13, 2015, registered Jul 19, 2016 (341 days) · Other
- M•••••••• • A••••••••• W••••• S••••••••• to W•••••• • R•••left Mar 31, 2015, registered Jun 8, 2015 (69 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
- 18derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address