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•• M• B••••
- R•• S••••••••• I••• BD affiliated currentsince Sep 6, 2017 · New York, Ny
- U••• B•••••• I••••••••• I••• formerJul 18, 2017 to Aug 30, 2017 · Los Angeles, Ca
- J••• M••••• S••••••••• L•• wirehouseSep 15, 2011 to May 15, 2012 · Los Angeles, Ca
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseJun 7, 2010 to Aug 8, 2011 · Palo Alto, Ca
- U••• B•••••• I••••••••• I••• to R•• S••••••••• I•••left Aug 30, 2017, registered Sep 6, 2017 (7 days) · Other
- J••• M••••• S••••••••• L•• to U••• B•••••• I••••••••• I•••left May 15, 2012, registered Jul 18, 2017 (1890 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to J••• M••••• S••••••••• L••left Aug 8, 2011, registered Sep 15, 2011 (38 days) · Wirehouse to wirehouse
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