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.
L••••• M• G••••••
- L•• F•••••••• L•• BD affiliated currentsince Oct 30, 2007 · Irvine, Ca
- W••••••••• R••••••••• A••••••• institutionalJun 23, 2003 to May 23, 2005 · Laguna Hills, Ca
- C••••• A•••••• N••••••• L•• formerJan 20, 1998 to Mar 19, 2003 · Irvine, Ca
- W••••••••• R••••••••• A••••••• to L•• F•••••••• L••left May 23, 2005, registered Oct 30, 2007 (890 days) · Other
- C••••• A•••••• N••••••• L•• to W••••••••• R••••••••• A•••••••left Mar 19, 2003, registered Jun 23, 2003 (96 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