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••••• H••••••••• L••
- T••••••••• A•••••••• L•• independent RIA currentsince Jan 15, 2021 · Monrovia, Ca
- C••••• I••••••••• A••••••• L•• BD affiliatedJan 2, 2018 to Apr 3, 2019 · Monterey Park, Ca
- L•• F•••••••• L•• BD affiliatedMar 1, 2017 to Sep 15, 2017 · Artesia, Ca
- C••••• I••••••••• A••••••• L•• BD affiliatedJan 21, 2014 to Feb 28, 2017 · El Monte, Ca
- C••••• I••••••••• S••••••• L•• formerJan 14, 2011 to Jan 21, 2014 · Torrance, Ca
- U•• A•••• M••••••••• I••• unclassifiedNov 26, 2007 to Mar 4, 2009 · City Of Industry, Ca
- U•• I••••••••• S•••••••• I••• unclassifiedNov 16, 2007 to Mar 4, 2009 · Stockton, Ca
- S•••••• F•••••••• S••••••• •••• L••• unclassifiedAug 22, 2002 to Sep 30, 2002 · Industry, Ca
- C••••• I••••••••• A••••••• L•• to T••••••••• A•••••••• L••left Apr 3, 2019, registered Jan 15, 2021 (653 days) · Affiliated broker-dealer or bank to independent RIA
- L•• F•••••••• L•• to C••••• I••••••••• A••••••• L••left Sep 15, 2017, registered Jan 2, 2018 (109 days) · Other · moved with a team
- C••••• I••••••••• A••••••• L•• to L•• F•••••••• L••left Feb 28, 2017, registered Mar 1, 2017 (1 days) · Other · moved with a team
- C••••• I••••••••• S••••••• L•• to C••••• I••••••••• A••••••• L••left Jan 21, 2014, registered Jan 21, 2014 (0 days) · corporate re-registration, not a move
- U•• I••••••••• S•••••••• I••• to U•• A•••• M••••••••• I•••left Mar 4, 2009, registered Nov 26, 2007 (-464 days) · Other
- U•• A•••• M••••••••• I••• to C••••• I••••••••• S••••••• L••left Mar 4, 2009, registered Jan 14, 2011 (681 days) · Other
- S•••••• F•••••••• S••••••• •••• L••• to U•• I••••••••• S•••••••• I•••left Sep 30, 2002, registered Nov 16, 2007 (1873 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
- Independent wealth managerderived
- Years in industry
- 38derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address