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••• P•••••
- L•• F•••••••• L•• BD affiliated currentsince Sep 1, 2020 · San Diego, Ca
- L•••• C•••••• G•••• formerApr 9, 2010 to Oct 5, 2020 · San Diego, Ca
- R•••••• J• L•••• C••••••••• I••• unclassifiedApr 6, 2009 to Nov 10, 2010 · San Diego, Ca
- R•••••• J• L•••• C••••••••• I••• unclassifiedApr 28, 2008 to Jul 28, 2008 · San Diego, Ca
- F•••• A••••• S••••••••• I••• formerMar 14, 2008 to Apr 6, 2009 · Stuart, Fl
- S••••••••• A•••••• A•••••••• I••• formerAug 17, 2007 to Feb 19, 2008 · Boca Raton, Fl
- R•••••• J• L•••• C••••••••• I••• unclassifiedJan 19, 2006 to Feb 15, 2008 · Boca Raton, Fl
- R•• F•••••••• N••••••• L••••• unclassifiedMay 17, 2004 to Mar 7, 2006 · Boca Raton, Fl
- S••••••••• A•••••• A•••••••• I••• formerJul 18, 2000 to Aug 17, 2007 · Boca Raton, Fl
- L•••• C•••••• G•••• to L•• F•••••••• L••left Oct 5, 2020, registered Sep 1, 2020 (-34 days) · RIA to affiliated broker-dealer or bank
- R•••••• J• L•••• C••••••••• I••• to L•••• C•••••• G••••left Nov 10, 2010, registered Apr 9, 2010 (-215 days) · Other
- F•••• A••••• S••••••••• I••• to R•••••• J• L•••• C••••••••• I•••left Apr 6, 2009, registered Apr 28, 2008 (-343 days) · Other
- S••••••••• A•••••• A•••••••• I••• to F•••• A••••• S••••••••• I•••left Feb 19, 2008, registered Mar 14, 2008 (24 days) · Other
- R•••••• J• L•••• C••••••••• I••• to S••••••••• A•••••• A•••••••• I•••left Feb 15, 2008, registered Aug 17, 2007 (-182 days) · Other
- S••••••••• A•••••• A•••••••• I••• to R•• F•••••••• N••••••• L•••••left Aug 17, 2007, registered May 17, 2004 (-1187 days) · Other
- R•• F•••••••• N••••••• L••••• to R•••••• J• L•••• C••••••••• I•••left Mar 7, 2006, registered Jan 19, 2006 (-47 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
- 37derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address