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••••• S••••••
- L•• F•••••••• L•• BD affiliated currentsince Jul 27, 2022 · Studio City, Ca
- P•••••• A•••••• G••••• L•• BD affiliated currentsince Aug 31, 2021 · Studio City, Ca
- L•••• F••• A••••••• S••••••• BD affiliatedJan 4, 2006 to Aug 31, 2021 · Dallas, Tx
- S••••••••• A•••••• A•••••••• I••• formerDec 10, 2004 to Dec 31, 2005 · Studio City, Ca
- A•••••• A••••••• S••••••• formerJun 24, 1991 to Jan 11, 2005 · Studio City, Ca
- L•••• F••• A••••••• S••••••• to P•••••• A•••••• G••••• L••left Aug 31, 2021, registered Aug 31, 2021 (0 days) · Affiliated broker-dealer or bank to another
- S••••••••• A•••••• A•••••••• I••• to L•••• F••• A••••••• S•••••••left Dec 31, 2005, registered Jan 4, 2006 (4 days) · Other
- A•••••• A••••••• S••••••• to S••••••••• A•••••• A•••••••• I•••left Jan 11, 2005, registered Dec 10, 2004 (-32 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
- 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