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.
C••• B••••••
- W•••• A•••• C•••••• L•• state registered currentsince Apr 8, 2020 · Henderson, Nv
- O••••••••• • C•• I••• BD affiliatedJun 11, 2018 to Feb 11, 2020 · Los Angeles, Ca
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseAug 3, 2015 to Jun 11, 2018 · Los Angeles, Ca
- M••••• S•••••• wirehouseJul 29, 2013 to Jul 31, 2015 · Beverly Hills, Ca
- O••••••••• • C•• I••• to W•••• A•••• C•••••• L••left Feb 11, 2020, registered Apr 8, 2020 (57 days) · Affiliated broker-dealer or bank to a state-registered adviser
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to O••••••••• • C•• I•••left Jun 11, 2018, registered Jun 11, 2018 (0 days) · Wirehouse to affiliated broker-dealer or bank
- M••••• S•••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Jul 31, 2015, registered Aug 3, 2015 (3 days) · Wirehouse to wirehouse · moved with a team
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
- STATE REGISTEREDderived
- Years in industry
- 13derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address