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•••••••• M••••••••
- C•••••• S••••• • C••• I••• national BD currentsince Jan 26, 2022 · Torrance, Ca
- T• A••••••••• I••••••••• M••••••••• L•• formerJan 22, 2020 to Sep 7, 2023 · Torrance, Ca
- T• A••••••••• I••• formerJan 22, 2020 to Oct 14, 2022 · Torrance, Ca
- B••••••• I••••••••• S•••••••• I••• ••••• formerApr 16, 2019 to Jan 10, 2020 · Pico Rivera, Ca
- F••••••• P••••••• A•• W•••••••• A••••••• formerJul 13, 2018 to Dec 18, 2018 · Boston, Ma
- S•••••••• A••••••• L•• national BDNov 17, 2016 to Jul 13, 2018 · Santa Monica, Ca
- T• A••••••••• I••••••••• M••••••••• L•• to C•••••• S••••• • C••• I•••left Sep 7, 2023, registered Jan 26, 2022 (-589 days) · corporate re-registration, not a move
- T• A••••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••left Oct 14, 2022, registered Jan 22, 2020 (-996 days) · corporate re-registration, not a move
- B••••••• I••••••••• S•••••••• I••• ••••• to T• A••••••••• I•••left Jan 10, 2020, registered Jan 22, 2020 (12 days) · Other
- F••••••• P••••••• A•• W•••••••• A••••••• to B••••••• I••••••••• S•••••••• I••• •••••left Dec 18, 2018, registered Apr 16, 2019 (119 days) · Affiliated broker-dealer or bank to another
- S•••••••• A••••••• L•• to F••••••• P••••••• A•• W•••••••• A•••••••left Jul 13, 2018, registered Jul 13, 2018 (0 days) · corporate re-registration, not a move
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
- National broker-dealer RIAderived
- Years in industry
- 11derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address