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.
R•••• S••• P••••••••
- R•••••• J•••• • A••••••••• I••• national BD currentsince Jul 12, 2019 · Woodland Hills, Ca
- F•••••• F•••••••• S••••••••• L•• formerJul 27, 2017 to Jul 3, 2019 · Westlake Village, Ca
- L•• F•••••••• L•• BD affiliatedMar 10, 2015 to May 18, 2017 · Westlake Village, Ca
- F•••••• F•••••••• S••••••••• L•• to R•••••• J•••• • A••••••••• I•••left Jul 3, 2019, registered Jul 12, 2019 (9 days) · Other
- L•• F•••••••• L•• to F•••••• F•••••••• S••••••••• L••left May 18, 2017, registered Jul 27, 2017 (70 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
- National broker-dealer RIAderived
- Years in industry
- 14derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address