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.
M••• M••••• A•••
- M•••••• A••••• S••••••••• L•• BD affiliated currentsince Oct 15, 2019 · Los Angeles, Ca
- T••••••••• F•••••••• A•••••••• L•• BD affiliatedMar 10, 2015 to Apr 11, 2018 · Henderson, Nv
- C•••••••• F•••••••• G•••• A••••••• formerFeb 27, 2012 to Nov 24, 2014 · Laguna Beach, Ca
- T••••••••• F•••••••• A•••••••• L•• to M•••••• A••••• S••••••••• L••left Apr 11, 2018, registered Oct 15, 2019 (552 days) · Affiliated broker-dealer or bank to independent RIA
- C•••••••• F•••••••• G•••• A••••••• to T••••••••• F•••••••• A•••••••• L••left Nov 24, 2014, registered Mar 10, 2015 (106 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
- 18derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address