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•• B•••
- L•• F•••••••• L•• BD affiliated currentsince Jul 23, 2015 · La Jolla, Ca
- E•••••• C•••••• M••••••••• L•• formerOct 1, 2012 to Aug 17, 2015 · Arlington, Va
- L•• F•••••••• L•• BD affiliatedMay 3, 2010 to Oct 16, 2012 · La Jolla, Ca
- C•••• I••••••••• S••••••• C•••• formerSep 22, 2009 to May 11, 2010 · Del Mar, Ca
- E•••••• C•••••• M••••••••• L•• formerSep 27, 2006 to Aug 11, 2009 · Jersey City, Nj
- C••••• A•••••• N••••••• L•• formerOct 14, 2002 to Jan 2, 2004 · San Diego , Ca
- C••• B•••••••• S•••••••• I••• formerNov 8, 2001 to Oct 10, 2002 · San Diego, Ca
- E•••••• C•••••• M••••••••• L•• to L•• F•••••••• L••left Aug 17, 2015, registered Jul 23, 2015 (-25 days) · Other
- L•• F•••••••• L•• to E•••••• C•••••• M••••••••• L••left Oct 16, 2012, registered Oct 1, 2012 (-15 days) · Other
- C•••• I••••••••• S••••••• C•••• to L•• F•••••••• L••left May 11, 2010, registered May 3, 2010 (-8 days) · Other
- E•••••• C•••••• M••••••••• L•• to C•••• I••••••••• S••••••• C••••left Aug 11, 2009, registered Sep 22, 2009 (42 days) · Other
- C••••• A•••••• N••••••• L•• to E•••••• C•••••• M••••••••• L••left Jan 2, 2004, registered Sep 27, 2006 (999 days) · Other
- C••• B•••••••• S•••••••• I••• to C••••• A•••••• N••••••• L••left Oct 10, 2002, registered Oct 14, 2002 (4 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
- 39derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address