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.
E••• S•••••••
- O••••••••• • C•• I••• BD affiliated currentsince Jan 2, 2018 · San Francisco, Ca
- G••••• K••••••• W••••• • I••••••••• M••••••••• independent RIAOct 13, 2015 to Jan 11, 2018 · Santa Monica, Ca
- L•• F•••••••• L•• BD affiliatedOct 8, 2015 to Mar 3, 2016 · Santa Monica, Ca
- G••••• K••••••• W••••• • I••••••••• M••••••••• to O••••••••• • C•• I•••left Jan 11, 2018, registered Jan 2, 2018 (-9 days) · Other
- L•• F•••••••• L•• to G••••• K••••••• W••••• • I••••••••• M•••••••••left Mar 3, 2016, registered Oct 13, 2015 (-142 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 12derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address