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.
D•••• P•••••• B•••••
- E•••••••• A•••••••• L•• national BD currentsince Dec 4, 2024 · Fullerton, Ca
- P•••• S••••••••• L•• no RAUMNov 3, 2023 to Oct 25, 2024 · El Segundo, Ca
- L•• F•••••••• L•• BD affiliatedMay 24, 2018 to Jun 6, 2023 · El Segundo, Ca
- P•••• S••••••••• L•• to E•••••••• A•••••••• L••left Oct 25, 2024, registered Dec 4, 2024 (40 days) · Affiliated broker-dealer or bank to another · moved with a team
- L•• F•••••••• L•• to P•••• S••••••••• L••left Jun 6, 2023, registered Nov 3, 2023 (150 days) · Affiliated broker-dealer or bank to another
- D•••• P•••••• B••••• left P•••• S••••••••• L•• for E•••••••• A•••••••• L•• (registered 2024-12-04)Oct 25, 2024 · Advisor changed firm · fact
- D•••• P•••••• B••••• left L•• F•••••••• L•• for P•••• S••••••••• L•• (registered 2023-11-03)Jun 6, 2023 · 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
- National broker-dealer RIAderived
- Years in industry
- 30derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address