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•• F••
- C•••••• G•••• P•••••• C••••• S•••••••• I••• independent RIA currentsince Sep 20, 2021 · Los Angeles, Ca
- U••• B•••••• A•••••••• L•• BD affiliatedJul 11, 2018 to Aug 31, 2021 · Beverly Hills, Ca
- U••• B•••••• I••••••••• I••• formerMay 19, 2014 to May 30, 2018 · Los Angeles, Ca
- M••••• S•••••• wirehouseJun 9, 2009 to Apr 24, 2014 · Los Angeles, Ca
- C••••• A•••••••• L••• unclassifiedJul 14, 2008 to Nov 26, 2008 · New York, Ny
- U••• B•••••• A•••••••• L•• to C•••••• G•••• P•••••• C••••• S•••••••• I•••left Aug 31, 2021, registered Sep 20, 2021 (20 days) · Affiliated broker-dealer or bank to independent RIA
- U••• B•••••• I••••••••• I••• to U••• B•••••• A•••••••• L••left May 30, 2018, registered Jul 11, 2018 (42 days) · Affiliated broker-dealer or bank to another
- M••••• S•••••• to U••• B•••••• I••••••••• I•••left Apr 24, 2014, registered May 19, 2014 (25 days) · Other
- C••••• A•••••••• L••• to M••••• S••••••left Nov 26, 2008, registered Jun 9, 2009 (195 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