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.
P••••• E•••••• T•••••
- L•• F•••••••• L•• BD affiliated currentsince Oct 1, 2020 · Novato, Ca
- E• R•••• I••••••••• L•• formerJul 28, 2015 to Nov 6, 2020 · Novato, Ca
- J•• C•••••• A•••••••• L•• formerAug 12, 2013 to Jul 30, 2015 · Tampa, Fl
- E• R•••• I••••••••• L•• to L•• F•••••••• L••left Nov 6, 2020, registered Oct 1, 2020 (-36 days) · corporate re-registration, not a move
- J•• C•••••• A•••••••• L•• to E• R•••• I••••••••• L••left Jul 30, 2015, registered Jul 28, 2015 (-2 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
- 38derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address