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.
E••••• G••••• V••••••
- S••••••• C•••••• M••••••••• L•• mixed wealth currentsince Jul 7, 2020 · San Isidro
- H•••••••• A••••••••• L•• unclassifiedMay 17, 2016 to Jan 8, 2019 · Torrance, Ca
- A••••••• R••••• C•••••• A•••••••• L••• unclassifiedApr 19, 2012 to May 27, 2014 · Los Angeles, Ca
- A••••••• R••••• C•••••• A•••••••• L••• unclassifiedNov 5, 2009 to Jan 25, 2012 · Los Angeles, Ca
- H•••••••• A••••••••• L•• to S••••••• C•••••• M••••••••• L••left Jan 8, 2019, registered Jul 7, 2020 (546 days) · Other
- A••••••• R••••• C•••••• A•••••••• L••• to H•••••••• A••••••••• L••left May 27, 2014, registered May 17, 2016 (721 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
- Wealth manager with institutional or fund businessderived
- Years in industry
- 17derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address