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.
H•• Z••••
- I••••••••• F•••••••• G••••• L•• BD affiliated currentsince Sep 1, 2020 · San Gabriel, Ca
- C••••• I••••••••• A••••••• L•• BD affiliatedJan 21, 2014 to Mar 6, 2020 · Alhambra, Ca
- C••••• I••••••••• S••••••• L•• formerJan 28, 2013 to Jan 21, 2014 · Alhambra, Ca
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseJul 5, 2011 to Jan 22, 2013 · Pasadena, Ca
- C••••• I••••••••• A••••••• L•• to I••••••••• F•••••••• G••••• L••left Mar 6, 2020, registered Sep 1, 2020 (179 days) · Affiliated broker-dealer or bank to independent RIA
- C••••• I••••••••• S••••••• L•• to C••••• I••••••••• A••••••• L••left Jan 21, 2014, registered Jan 21, 2014 (0 days) · corporate re-registration, not a move
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to C••••• I••••••••• S••••••• L••left Jan 22, 2013, registered Jan 28, 2013 (6 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
- 15derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address