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.
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- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse currentsince Jun 13, 2016 · Scottsdale, Az
- W•••• F•••• A••••••• wirehouseFeb 18, 2016 to May 17, 2016 · Los Angeles, Ca
- C••••• S••••• S••••••••• •••• L•• formerOct 17, 2012 to Mar 8, 2016 · Los Angeles, Ca
- W•••• F•••• I••••••••• L•• unclassifiedJan 1, 2010 to Sep 10, 2010 · San Gabriel, Ca
- W•••• F•••• A••••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left May 17, 2016, registered Jun 13, 2016 (27 days) · Wirehouse to wirehouse
- C••••• S••••• S••••••••• •••• L•• to W•••• F•••• A•••••••left Mar 8, 2016, registered Feb 18, 2016 (-19 days) · corporate re-registration, not a move
- W•••• F•••• I••••••••• L•• to C••••• S••••• S••••••••• •••• L••left Sep 10, 2010, registered Oct 17, 2012 (768 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
- Wirehousederived
- Years in industry
- 16derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address