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••••• A• B••••
- S••• BD affiliated currentsince Oct 26, 2021 · Los Angeles, Ca
- S•••••••• I••••••••• A•••••••• L•• independent RIAJul 16, 2015 to Feb 6, 2017 · Los Angeles, Ca
- F•• G•••• formerFeb 28, 2013 to May 28, 2015 · Kahului, Hi
- S••••••• I••••••••• I••• formerAug 19, 2011 to Feb 1, 2013 · Raleigh, Nc
- S•••••••• I••••••••• A•••••••• L•• to S•••left Feb 6, 2017, registered Oct 26, 2021 (1723 days) · Other
- F•• G•••• to S•••••••• I••••••••• A•••••••• L••left May 28, 2015, registered Jul 16, 2015 (49 days) · Other
- S••••••• I••••••••• I••• to F•• G••••left Feb 1, 2013, registered Feb 28, 2013 (27 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
- 15derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address