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.
L•••••• H•••••• A•••••••
- L•• C•••••• P••••••• state registered currentsince Apr 25, 2022 · Scottsdale, Az
- L••••• W••••• A•••••••• I••• formerApr 10, 2017 to Nov 22, 2019 · Solana Beach, Ca
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseNov 1, 2011 to Apr 10, 2017 · Los Angeles, Ca
- M••••• S•••••• wirehouseJul 16, 2010 to Nov 4, 2011 · Beverly Hills, Ca
- L••••• W••••• A•••••••• I••• to L•• C•••••• P•••••••left Nov 22, 2019, registered Apr 25, 2022 (885 days) · RIA to a state-registered adviser
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to L••••• W••••• A•••••••• I•••left Apr 10, 2017, registered Apr 10, 2017 (0 days) · Other
- M••••• S•••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Nov 4, 2011, registered Nov 1, 2011 (-3 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
- STATE REGISTEREDderived
- Years in industry
- 16derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address