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.
T•••• G•••••••• D•••••
- L•• F•••••••• L•• BD affiliated currentsince Nov 22, 2002 · Indian Wells, Ca
- T•••••••• I••••••••• A••••••• unclassifiedJan 23, 2015 to Jan 12, 2022 · Indian Wells, Ca
- T•••••••• I••••••••• A••••••• unclassifiedJun 4, 2003 to Dec 31, 2014 · Newport Beach, Ca
- R•• C•••••• M••••••• L•• national BDMay 28, 2002 to Dec 3, 2002 · Newport Beach, Ca
- T•••••••• I••••••••• A••••••• to no registered destinationleft Jan 12, 2022 · Departure, no registered destination
- R•• C•••••• M••••••• L•• to L•• F•••••••• L••left Dec 3, 2002, registered Nov 22, 2002 (-11 days) · Other
- T•••• G•••••••• D••••• no longer registered at T•••••••• I••••••••• A•••••••; no later IA registration on IAPDJan 12, 2022 · Advisor departure · 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
- 39derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address