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.
F•••• T•••••• K•••••
- C••••••• A•••• M••••••••• L•• BD affiliated currentsince Aug 2, 2018 · San Diego, Ca
- F•••••••• D•••••• L••• unclassifiedJun 23, 2011 to Jul 30, 2014 · San Diego, Ca
- I••••••••• F•••••••• G••••• L•• BD affiliatedMay 24, 2011 to Jul 31, 2018 · San Diego, Ca
- E••••• C••••••• L•• formerFeb 21, 2007 to Feb 2, 2011 · San Diego, Ca
- R•• F•••••••• N••••••• L••••• unclassifiedApr 22, 2004 to Feb 22, 2006 · Omaha, Ne
- R•••••• J• L•••• C••••••••• I••• unclassifiedFeb 18, 2003 to Feb 26, 2007 · San Diego, Ca
- M•• F•••••••• S•••••••• I••• formerDec 11, 2001 to Jan 16, 2003 · San Diego, Ca
- I••••••••• F•••••••• G••••• L•• to F•••••••• D•••••• L•••left Jul 31, 2018, registered Jun 23, 2011 (-2595 days) · Other
- F•••••••• D•••••• L••• to C••••••• A•••• M••••••••• L••left Jul 30, 2014, registered Aug 2, 2018 (1464 days) · Other
- E••••• C••••••• L•• to I••••••••• F•••••••• G••••• L••left Feb 2, 2011, registered May 24, 2011 (111 days) · Other
- R•••••• J• L•••• C••••••••• I••• to R•• F•••••••• N••••••• L•••••left Feb 26, 2007, registered Apr 22, 2004 (-1040 days) · Other
- R•• F•••••••• N••••••• L••••• to E••••• C••••••• L••left Feb 22, 2006, registered Feb 21, 2007 (364 days) · Other
- M•• F•••••••• S•••••••• I••• to R•••••• J• L•••• C••••••••• I•••left Jan 16, 2003, registered Feb 18, 2003 (33 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
- 35derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address