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.
H••••• S••••
- L•• F•••••••• L•• BD affiliated currentsince Feb 14, 2018 · Newbury Park, Ca
- I••••• F•••••••• C••••••••• formerJan 14, 2016 to Feb 14, 2018 · Newbury Park, Ca
- U••• B•••••• I••••••••• I••• formerMay 4, 2015 to Jan 13, 2016 · West Los Angeles, Ca
- U••• B•••••• I••••••••• I••• formerNov 26, 2012 to Dec 19, 2014 · San Ramon, Ca
- B••••••• I••••••••• S•••••••• I••• ••••• formerFeb 28, 2011 to Nov 29, 2012 · Newark, Ca
- I••••• F•••••••• C••••••••• to L•• F•••••••• L••left Feb 14, 2018, registered Feb 14, 2018 (0 days) · corporate re-registration, not a move
- U••• B•••••• I••••••••• I••• to I••••• F•••••••• C•••••••••left Jan 13, 2016, registered Jan 14, 2016 (1 days) · Other
- B••••••• I••••••••• S•••••••• I••• ••••• to U••• B•••••• I••••••••• I•••left Nov 29, 2012, registered Nov 26, 2012 (-3 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
- 16derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address