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•••• C••••
- L•• F•••••••• L•• BD affiliated currentsince Dec 15, 2021 · San Diego, Ca
- A•••• P•••• A••••••• formerMar 26, 2019 to Dec 21, 2021 · Huntington Beach, Ca
- S••••••••• A•••••• A•••••••• I••• formerOct 17, 2017 to Dec 21, 2021 · Huntington Beach, Ca
- T•• E•••• F•••••••• N••••••• I••• unclassifiedDec 2, 2011 to Jan 15, 2017 · Huntington Beach, Ca
- T•• E•••• F•••••••• N••••••• I••• unclassifiedFeb 24, 2010 to Aug 22, 2011 · Huntington Beach, Ca
- N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N•• formerMay 1, 2009 to Nov 10, 2017 · El Segundo, Ca
- T•• E•••• F•••••••• N••••••• I••• unclassifiedJul 31, 2008 to Dec 31, 2009 · Huntington Beach, Ca
- O•••• W•••••• I••• BD affiliatedFeb 9, 2006 to May 4, 2009 · Orange, Ca
- S••••••••• A•••••• A•••••••• I••• to A•••• P•••• A•••••••left Dec 21, 2021, registered Mar 26, 2019 (-1001 days) · channel change inside one enterprise, not a move · moved with a team
- A•••• P•••• A••••••• to L•• F•••••••• L••left Dec 21, 2021, registered Dec 15, 2021 (-6 days) · Affiliated broker-dealer or bank to another
- N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N•• to T•• E•••• F•••••••• N••••••• I•••left Nov 10, 2017, registered Feb 24, 2010 (-2816 days) · Other · moved with a team
- T•• E•••• F•••••••• N••••••• I••• to S••••••••• A•••••• A•••••••• I•••left Jan 15, 2017, registered Oct 17, 2017 (275 days) · Other
- T•• E•••• F•••••••• N••••••• I••• to N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N••left Dec 31, 2009, registered May 1, 2009 (-244 days) · Other
- O•••• W•••••• I••• to T•• E•••• F•••••••• N••••••• I•••left May 4, 2009, registered Jul 31, 2008 (-277 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
- 38derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address