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•••• E••••• R•••••••
- I••••••••• F•••••••• G••••• L•• BD affiliated currentsince Sep 8, 2021 · San Diego, Ca
- W••••• A••••••••• I••• unclassifiedSep 15, 2003 to Aug 12, 2004 · San Diego, Ca
- H•••••• T••••••• • K•••• L•• i••••••••• wealthJul 25, 2003 to Sep 9, 2021 · San Diego, Ca
- H•••••• T••••••• • K•••• L•• to W••••• A••••••••• I•••left Sep 9, 2021, registered Sep 15, 2003 (-6569 days) · Other · moved with a team
- W••••• A••••••••• I••• to I••••••••• F•••••••• G••••• L••left Aug 12, 2004, registered Sep 8, 2021 (6236 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