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.
P••• B•••• B•••••
- R•••••• J•••• • A••••••••• I••• national BD currentsince Jan 14, 2015 · Beverly Hills, Ca
- R•• C•••••• M••••••• L•• national BDMay 25, 2007 to Feb 6, 2015 · Century City, Ca
- W•••• F•••• A••••••• wirehouseJul 1, 2003 to May 30, 2007 · Los Angeles, Ca
- P••••••••• E••••• G••••• L•• unclassifiedOct 4, 1999 to Jul 1, 2003 · Los Angeles, Ca
- R•• C•••••• M••••••• L•• to R•••••• J•••• • A••••••••• I•••left Feb 6, 2015, registered Jan 14, 2015 (-23 days) · Affiliated broker-dealer or bank to another · moved with a team
- W•••• F•••• A••••••• to R•• C•••••• M••••••• L••left May 30, 2007, registered May 25, 2007 (-5 days) · Wirehouse to affiliated broker-dealer or bank
- P••••••••• E••••• G••••• L•• to W•••• F•••• A•••••••left Jul 1, 2003, registered Jul 1, 2003 (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
- 43derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address