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••••
- L•• F•••••••• L•• BD affiliated currentsince Dec 27, 2018 · Torrance, Ca
- Q•••••• A•••• M••••••••• I••• formerSep 16, 2014 to Dec 26, 2018 · Torrance, Ca
- S••••• F•••••••• G•••• I•• formerApr 17, 2009 to Sep 17, 2014 · Torrance, Ca
- L•• F•••••••• L•• BD affiliatedMay 24, 2007 to Apr 20, 2009 · Torrance, Ca
- T••••••••• F•••••••• A•••••••• I••• unclassifiedJun 19, 1998 to May 24, 2007 · Torrance, Ca
- Q•••••• A•••• M••••••••• I••• to L•• F•••••••• L••left Dec 26, 2018, registered Dec 27, 2018 (1 days) · Affiliated broker-dealer or bank to independent RIA
- S••••• F•••••••• G•••• I•• to Q•••••• A•••• M••••••••• I•••left Sep 17, 2014, registered Sep 16, 2014 (-1 days) · Other
- L•• F•••••••• L•• to S••••• F•••••••• G•••• I••left Apr 20, 2009, registered Apr 17, 2009 (-3 days) · Other
- T••••••••• F•••••••• A•••••••• I••• to L•• F•••••••• L••left May 24, 2007, registered May 24, 2007 (0 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
- 32derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address