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.
B•••• A••••••
- W•••• F•••• A••••••• wirehouse currentsince Apr 29, 2022 · West Hills, Ca
- J••• M••••• S••••••••• L•• wirehouseOct 1, 2012 to Apr 30, 2022 · Chatsworth, Ca
- C•••• I••••••••• S••••••• C•••• formerAug 10, 2010 to Oct 1, 2012 · Northridge, Ca
- M••••• S•••••• wirehouseJun 1, 2009 to Jul 27, 2010 · Los Angeles, Ca
- C•••••••• G••••• M•••••• I••• BD affiliatedJul 21, 2008 to Jun 1, 2009 · Los Angeles, Ca
- J••• M••••• S••••••••• L•• to W•••• F•••• A•••••••left Apr 30, 2022, registered Apr 29, 2022 (-1 days) · Wirehouse to wirehouse · moved with a team
- 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••••• S•••••• to C•••• I••••••••• S••••••• C••••left Jul 27, 2010, registered Aug 10, 2010 (14 days) · Other
- C•••••••• G••••• M•••••• I••• to M••••• S••••••left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
- B•••• A•••••• left J••• M••••• S••••••••• L•• for W•••• F•••• A••••••• (registered 2022-04-29)Apr 30, 2022 · Advisor changed firm · fact
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
- Wirehousederived
- Years in industry
- 18derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address