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••••• E• V••••• H•••••
- T•• A•••••••• I••• BD affiliated currentsince Sep 6, 2024 · Summit, Nj
- C•••• C•••••• S••••••••• L••• formerSep 26, 2018 to Jun 16, 2021 · Los Angeles, Ca
- M••••• S•••••• wirehouseAug 28, 2015 to Mar 21, 2017 · Laguna Niguel, Ca
- C••• B•••••••• S•••••••• I••• formerNov 13, 2013 to Jul 22, 2014 · Waverly, Ia
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseMar 2, 2010 to Oct 21, 2013 · Newport Coast, Ca
- C•••• C•••••• S••••••••• L••• to T•• A•••••••• I•••left Jun 16, 2021, registered Sep 6, 2024 (1178 days) · Affiliated broker-dealer or bank to another
- M••••• S•••••• to C•••• C•••••• S••••••••• L•••left Mar 21, 2017, registered Sep 26, 2018 (554 days) · Wirehouse to independent RIA
- C••• B•••••••• S•••••••• I••• to M••••• S••••••left Jul 22, 2014, registered Aug 28, 2015 (402 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to C••• B•••••••• S•••••••• I•••left Oct 21, 2013, registered Nov 13, 2013 (23 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