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.
- W•••• I••••••••• A•••••••• L•• other currentsince Jan 3, 2019 · Irvine, Ca
- L•• F•••••••• L•• BD affiliatedSep 28, 2018 to Nov 29, 2018 · Irvine, Ca
- B•• A•••••••• I••• formerOct 26, 2016 to Mar 6, 2018 · East Palo Alto, Ca
- L•• F•••••••• L•• to W•••• I••••••••• A•••••••• L••left Nov 29, 2018, registered Jan 3, 2019 (35 days) · RIA to affiliated broker-dealer or bank
- B•• A•••••••• I••• to L•• F•••••••• L••left Mar 6, 2018, registered Sep 28, 2018 (206 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
- Other adviserderived
- Years in industry
- 10derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address