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••• D•••• B•••••
- B•••••• P••• D•••• state registered currentsince Jul 29, 2016 · Laguna Hills, Ca
- G•••••••• G••••• A••••••• L•• formerNov 4, 2014 to Dec 9, 2016 · Lehi, Ut
- L•• F•••••••• L•• BD affiliatedDec 31, 1997 to Oct 9, 2014 · Laguna Hills, Ca
- G•••••••• G••••• A••••••• L•• to B•••••• P••• D••••left Dec 9, 2016, registered Jul 29, 2016 (-133 days) · Other
- L•• F•••••••• L•• to G•••••••• G••••• A••••••• L••left Oct 9, 2014, registered Nov 4, 2014 (26 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
- STATE REGISTEREDderived
- Years in industry
- 43derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address