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.
T•••• L••• M•••••
- L•• F•••••••• L•• BD affiliated currentsince Sep 1, 2020 · Newport Beach, Ca
- L•••• C•••••• G•••• formerJan 15, 2013 to Oct 5, 2020 · San Diego, Ca
- G••• S••••••• A••••••••• I••• mixed wealthApr 16, 2010 to Feb 28, 2011 · Lake Forest, Ca
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseOct 23, 2009 to Dec 8, 2009 · Yorba Linda, Ca
- B••• O• A•••••• I••••••••• S•••••••• I••• unclassifiedFeb 6, 2007 to Oct 23, 2009 · Newport Beach, Ca
- L•••• C•••••• G•••• to L•• F•••••••• L••left Oct 5, 2020, registered Sep 1, 2020 (-34 days) · RIA to affiliated broker-dealer or bank · moved with a team
- G••• S••••••• A••••••••• I••• to L•••• C•••••• G••••left Feb 28, 2011, registered Jan 15, 2013 (687 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to G••• S••••••• A••••••••• I•••left Dec 8, 2009, registered Apr 16, 2010 (129 days) · Other
- B••• O• A•••••• I••••••••• S•••••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Oct 23, 2009, registered Oct 23, 2009 (0 days) · corporate re-registration, not a move
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
- 34derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address