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.
A••• L•• D•••••
- C•••••• C••••• G••••• I••• no RAUM currentsince Jan 30, 2014 · Los Angeles, Ca
- J••• M••••• S••••••••• L•• wirehouseMar 4, 2013 to Jan 3, 2014 · Valencia, Ca
- N•• E•••••• S••••••••• C••••••••• formerJan 10, 2012 to Feb 21, 2013 · Woodland Hills, Ca
- J••• M••••• S••••••••• L•• to C•••••• C••••• G••••• I•••left Jan 3, 2014, registered Jan 30, 2014 (27 days) · Wirehouse to a newly registered adviser (no RAUM reported yet)
- N•• E•••••• S••••••••• C••••••••• to J••• M••••• S••••••••• L••left Feb 21, 2013, registered Mar 4, 2013 (11 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
- No RAUM reportedderived
- Years in industry
- 14derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address