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.
S••••• S•••••• B•••••••
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse currentsince Sep 30, 2019 · Los Angeles, Ca
- U••• B•••••• A•••••••• L•• BD affiliatedMar 25, 2016 to Sep 9, 2019 · Beverly Hills, Ca
- R•• S••••••••• I••• BD affiliatedOct 7, 2013 to Mar 16, 2016 · Los Angeles, Ca
- U••• B•••••• A•••••••• L•• BD affiliatedAug 6, 2012 to Sep 20, 2013 · Beverly Hills, Ca
- U••• B•••••• A•••••••• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Sep 9, 2019, registered Sep 30, 2019 (21 days) · Affiliated broker-dealer or bank to wirehouse
- R•• S••••••••• I••• to U••• B•••••• A•••••••• L••left Mar 16, 2016, registered Mar 25, 2016 (9 days) · Other
- U••• B•••••• A•••••••• L•• to R•• S••••••••• I•••left Sep 20, 2013, registered Oct 7, 2013 (17 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
- Wirehousederived
- Years in industry
- 14derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address