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.
T••••••• W•••••• K••••
- L•• F•••••••• L•• BD affiliated currentsince Sep 1, 2020 · Fort Collins, Co
- L•••• C•••••• G•••• formerApr 27, 2010 to Oct 5, 2020 · San Diego, Ca
- R•••••• J• L•••• C••••••••• I••• unclassifiedFeb 3, 2009 to Jun 14, 2010 · San Diego, Ca
- U•••••••• S••••••••• I••• unclassifiedJul 6, 2005 to Feb 14, 2006 · San Diego, Ca
- N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N•• formerApr 16, 2002 to Oct 9, 2003 · San Diego, Ca
- L•••• C•••••• G•••• to L•• F•••••••• L••left Oct 5, 2020, registered Sep 1, 2020 (-34 days) · RIA to affiliated broker-dealer or bank · moved with a team
- R•••••• J• L•••• C••••••••• I••• to L•••• C•••••• G••••left Jun 14, 2010, registered Apr 27, 2010 (-48 days) · Other
- U•••••••• S••••••••• I••• to R•••••• J• L•••• C••••••••• I•••left Feb 14, 2006, registered Feb 3, 2009 (1085 days) · Other
- N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N•• to U•••••••• S••••••••• I•••left Oct 9, 2003, registered Jul 6, 2005 (636 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
- 30derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address