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.
W•••••• R•• L••••••
- L•••••• F••••••••• I••• state registered currentsince Jul 17, 2018 · Redlands, Ca
- L•••••• F••••••••• I••• unclassifiedMar 17, 2011 to Sep 23, 2018 · Redlands, Ca
- G••••• S••••••••• I••• formerMar 3, 2011 to Apr 21, 2011 · San Diego, Ca
- Q•• F•••••••• L•• unclassifiedSep 18, 2008 to Feb 11, 2011 · Redlands, Ca
- E•••• S••••••••• L•• BD affiliatedAug 24, 1999 to Jul 14, 2008 · San Bernardino, Ca
- L•••••• F••••••••• I••• to L•••••• F••••••••• I•••left Sep 23, 2018, registered Jul 17, 2018 (-68 days) · Other · moved with a team
- G••••• S••••••••• I••• to L•••••• F••••••••• I•••left Apr 21, 2011, registered Mar 17, 2011 (-35 days) · Other
- Q•• F•••••••• L•• to G••••• S••••••••• I•••left Feb 11, 2011, registered Mar 3, 2011 (20 days) · Other
- E•••• S••••••••• L•• to Q•• F•••••••• L••left Jul 14, 2008, registered Sep 18, 2008 (66 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
- STATE REGISTEREDderived
- Years in industry
- 30derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address