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••• I•• H••••
- A•• A•••• M••••••••• state registered currentsince Feb 18, 2021 · Azusa, Ca
- R•• S••••••••• I••• BD affiliatedMar 2, 2016 to Feb 2, 2021 · Los Angeles, Ca
- L•• F•••••••• L•• BD affiliatedAug 7, 2014 to Mar 9, 2016 · Azusa, Ca
- N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N•• formerMay 5, 2014 to Aug 8, 2014 · West Covina, Ca
- R•• S••••••••• I••• to A•• A•••• M•••••••••left Feb 2, 2021, registered Feb 18, 2021 (16 days) · RIA to a state-registered adviser
- L•• F•••••••• L•• to R•• S••••••••• I•••left Mar 9, 2016, registered Mar 2, 2016 (-7 days) · Other
- N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N•• to L•• F•••••••• L••left Aug 8, 2014, registered Aug 7, 2014 (-1 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
- STATE REGISTEREDderived
- Years in industry
- 13derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address