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.
M•••••• J••••• L••••
- I•••••••• A•••••••• L•• BD affiliated currentsince Apr 3, 2018 · Poway, Ca
- H• B•••• I••• formerJul 9, 2009 to Apr 20, 2018 · Long Beach, Ca
- M••••• S•••••• wirehouseJun 1, 2009 to Jun 23, 2009 · San Diego, Ca
- C•••••••• G••••• M•••••• I••• BD affiliatedAug 17, 2007 to Jun 1, 2009 · San Diego, Ca
- R•• F•••••••• N••••••• L••••• unclassifiedApr 19, 2004 to Feb 22, 2006 · Omaha, Ne
- R•••••• J• L•••• C••••••••• I••• unclassifiedDec 9, 1999 to Aug 22, 2007 · Las Vegas, Nv
- T•• A••••••• G••••• I••• unclassifiedJul 8, 1997 to Sep 30, 2002 · San Diego, Ca
- H• B•••• I••• to I•••••••• A•••••••• L••left Apr 20, 2018, registered Apr 3, 2018 (-17 days) · Affiliated broker-dealer or bank to independent RIA
- M••••• S•••••• to H• B•••• I•••left Jun 23, 2009, registered Jul 9, 2009 (16 days) · Other
- C•••••••• G••••• M•••••• I••• to M••••• S••••••left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
- R•••••• J• L•••• C••••••••• I••• to R•• F•••••••• N••••••• L•••••left Aug 22, 2007, registered Apr 19, 2004 (-1220 days) · Other
- R•• F•••••••• N••••••• L••••• to C•••••••• G••••• M•••••• I•••left Feb 22, 2006, registered Aug 17, 2007 (541 days) · Other
- T•• A••••••• G••••• I••• to R•••••• J• L•••• C••••••••• I•••left Sep 30, 2002, registered Dec 9, 1999 (-1026 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
- 34derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address