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.
G•••••• P••• S•••••
- L•• F•••••••• L•• BD affiliated currentsince Oct 3, 2022 · San Diego, Ca
- T•• A••••••• G•••• formerAug 2, 2000 to Dec 31, 2022 · Torrance, Ca
- F•• S••••••••• C••••••••• formerOct 13, 1993 to Oct 11, 2022 · Torrance, Ca
- T•• A••••••• G•••• to L•• F•••••••• L••left Dec 31, 2022, registered Oct 3, 2022 (-89 days) · RIA to RIA · moved with a team
- F•• S••••••••• C••••••••• to T•• A••••••• G••••left Oct 11, 2022, registered Aug 2, 2000 (-8105 days) · Other · moved with a team
- G•••••• P••• S••••• left T•• A••••••• G•••• for L•• F•••••••• L•• (registered 2022-10-03)Dec 31, 2022 · Advisor changed firm · fact
- G•••••• P••• S••••• left F•• S••••••••• C••••••••• for T•• A••••••• G•••• (registered 2000-08-02)Oct 11, 2022 · Advisor changed firm · fact
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
- 36derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address