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.
N••••••• C•••••• S••••
- J••• M••••• S••••••••• L•• wirehouse currentsince Feb 23, 2018 · Pasadena, Ca
- R•• S••••••••• I••• BD affiliatedDec 7, 2015 to Feb 13, 2018 · Los Angeles, Ca
- C•••••••• G••••• M•••••• I••• BD affiliatedSep 24, 2013 to Nov 27, 2015 · Washington, Dc
- R•• S••••••••• I••• to J••• M••••• S••••••••• L••left Feb 13, 2018, registered Feb 23, 2018 (10 days) · RIA to wirehouse
- C•••••••• G••••• M•••••• I••• to R•• S••••••••• I•••left Nov 27, 2015, registered Dec 7, 2015 (10 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
- 12derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address