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.
B•••• F•••••• S•••••
- E•••••• E••••• L•• BD affiliated currentsince Jan 1, 2025 · San Diego, Ca
- I••••••••• F•••••••• G••••• L•• BD affiliatedFeb 10, 2009 to Aug 23, 2022 · San Diego, Ca
- L•• F•••••••• L•• BD affiliatedMay 20, 1998 to Apr 7, 2009 · San Diego, Ca
- I••••••••• F•••••••• G••••• L•• to E•••••• E••••• L••left Aug 23, 2022, registered Jan 1, 2025 (862 days) · Affiliated broker-dealer or bank to another
- L•• F•••••••• L•• to I••••••••• F•••••••• G••••• L••left Apr 7, 2009, registered Feb 10, 2009 (-56 days) · Other
- B•••• F•••••• S••••• left I••••••••• F•••••••• G••••• L•• for E•••••• E••••• L•• (registered 2025-01-01)Aug 23, 2022 · Advisor changed firm · fact
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
- 46derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address