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.
D•••• L••••• J•••••••
- A••••••• F••••••••• L••• BD affiliated currentsince Feb 1, 2022 · Campbell, Ca
- J••••••• F•••••••• A•••••••• I••• formerOct 19, 2011 to Feb 1, 2022 · San Martin, Ca
- W••••• D•••••• L•• formerNov 3, 2006 to Jun 10, 2013 · Campbell, Ca
- L•• F•••••••• L•• BD affiliatedJun 17, 2003 to Jan 4, 2010 · Campbell, Ca
- J••••••• F•••••••• A•••••••• I••• to A••••••• F••••••••• L•••left Feb 1, 2022, registered Feb 1, 2022 (0 days) · RIA to RIA
- W••••• D•••••• L•• to J••••••• F•••••••• A•••••••• I•••left Jun 10, 2013, registered Oct 19, 2011 (-600 days) · Other
- L•• F•••••••• L•• to W••••• D•••••• L••left Jan 4, 2010, registered Nov 3, 2006 (-1158 days) · Other
- D•••• L••••• J••••••• left J••••••• F•••••••• A•••••••• I••• for A••••••• F••••••••• L••• (registered 2022-02-01)Feb 1, 2022 · Advisor changed firm · fact
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
- 36derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address