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.
D•••• A•••••••• L•••••
- S•••••••• I••••••••• A•••••••• L•• independent RIA currentsince Jun 22, 2023 · Los Angeles, Ca
- O•••• W•••••• I••• BD affiliatedSep 13, 2019 to May 18, 2020 · Los Angeles, Ca
- G•••••• S•••• W••••• S•••••••• L••• BD affiliatedMay 17, 2019 to Sep 12, 2019 · Irvine, Ca
- O•••• W•••••• I••• to S•••••••• I••••••••• A•••••••• L••left May 18, 2020, registered Jun 22, 2023 (1130 days) · Affiliated broker-dealer or bank to independent RIA
- G•••••• S•••• W••••• S•••••••• L••• to O•••• W•••••• I•••left Sep 12, 2019, registered Sep 13, 2019 (1 days) · Affiliated broker-dealer or bank to another
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
- Independent wealth managerderived
- Years in industry
- 13derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address