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.
H••••• M•••••••
- J••• M••••• S••••••••• L•• wirehouse currentsince Nov 6, 2019 · Mission Hills, Ca
- A••••••• F•••••••• N•••••• A••••••• S•••••••• L•• formerJun 1, 2018 to Apr 17, 2019 · Los Angeles, Ca
- E•••••••• A•••••••• L•• national BDJan 17, 2018 to Feb 9, 2018 · North Hills, Ca
- A••••••• F•••••••• N•••••• A••••••• S•••••••• L•• to J••• M••••• S••••••••• L••left Apr 17, 2019, registered Nov 6, 2019 (203 days) · RIA to wirehouse
- E•••••••• A•••••••• L•• to A••••••• F•••••••• N•••••• A••••••• S•••••••• L••left Feb 9, 2018, registered Jun 1, 2018 (112 days) · Affiliated broker-dealer or bank to independent RIA
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
- 11derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address