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.
T••••• S•••• M•••••
- D•••••• independent RIA currentsince Feb 3, 2018 · Phoenix, Az
- S•••••••• W•••••• L•• independent RIAJan 9, 2015 to Feb 12, 2018 · Los Angeles, Ca
- M••••• S•••••• wirehouseAug 19, 2014 to Jan 16, 2015 · Beverly Hills, Ca
- F••••• I••••••••• independent RIAMar 5, 2013 to Aug 20, 2014 · Camas, Wa
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseOct 20, 2011 to Dec 21, 2012 · Seattle, Wa
- S•••••••• W•••••• L•• to D••••••left Feb 12, 2018, registered Feb 3, 2018 (-9 days) · Other · moved with a team
- M••••• S•••••• to S•••••••• W•••••• L••left Jan 16, 2015, registered Jan 9, 2015 (-7 days) · Other
- F••••• I••••••••• to M••••• S••••••left Aug 20, 2014, registered Aug 19, 2014 (-1 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to F••••• I•••••••••left Dec 21, 2012, registered Mar 5, 2013 (74 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
- Independent wealth managerderived
- Years in industry
- 14derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address