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••• J••••• L••••
- O•••• W•••••• I••• BD affiliated currentsince Sep 19, 2012 · Tustin, Ca
- L•• A••••••• S•••••••• L•• formerOct 22, 2008 to May 1, 2015 · Santa Ana, Ca
- L•••••• C•••••• M••••••••• I••• unclassifiedNov 17, 1997 to Jul 1, 2009 · Santa Ana, Ca
- L•• A••••••• S•••••••• L•• to O•••• W•••••• I•••left May 1, 2015, registered Sep 19, 2012 (-954 days) · Other
- L•••••• C•••••• M••••••••• I••• to L•• A••••••• S•••••••• L••left Jul 1, 2009, registered Oct 22, 2008 (-252 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