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.
J••••• A•••••• P•••
- L•• F•••••••• L•• BD affiliated currentsince Nov 29, 2017 · Garden Grove, Ca
- N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N•• formerMay 28, 2013 to Nov 29, 2017 · Las Vegas, Nv
- J• W• C••• A•••••••• I••• BD affiliatedMay 10, 2013 to May 23, 2013 · Tampa, Fl
- F•••••••• A••••••• O• A••••••• L•• formerNov 2, 2011 to May 10, 2013 · Las Vegas, Nv
- N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N•• to L•• F•••••••• L••left Nov 29, 2017, registered Nov 29, 2017 (0 days) · Other · moved with a team
- J• W• C••• A•••••••• I••• to N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N••left May 23, 2013, registered May 28, 2013 (5 days) · Other
- F•••••••• A••••••• O• A••••••• L•• to J• W• C••• A•••••••• I•••left May 10, 2013, registered May 10, 2013 (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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 51derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address