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.
J••• M•••••• G•••••
- A••••••••• F•••••••• S•••••••• L•• national BD currentsince Aug 2, 2021 · Carson, Ca
- C••• F•••••••• S•••••••• L••• formerOct 3, 2016 to Aug 2, 2021 · Los Angeles, Ca
- L•• F•••••••• L•• BD affiliatedAug 15, 2014 to Oct 7, 2016 · Redlands, Ca
- U••• B•••••• A•••••••• L•• BD affiliatedJul 20, 2012 to Aug 7, 2014 · Fullerton, Ca
- W••••• F•••••••• S•••••••• L•• formerJan 28, 2010 to Mar 19, 2012 · Westminster, Ca
- U••• B•••••• I••••••••• I••• formerMar 1, 2006 to Jan 27, 2010 · Orange, Ca
- C••••••• I••••••••• S••••••• unclassifiedJan 20, 2004 to Jul 13, 2004 · Anaheim, Ca
- C••• F•••••••• S•••••••• L••• to A••••••••• F•••••••• S•••••••• L••left Aug 2, 2021, registered Aug 2, 2021 (0 days) · Affiliated broker-dealer or bank to another · moved with a team
- L•• F•••••••• L•• to C••• F•••••••• S•••••••• L•••left Oct 7, 2016, registered Oct 3, 2016 (-4 days) · Other · moved with a team
- U••• B•••••• A•••••••• L•• to L•• F•••••••• L••left Aug 7, 2014, registered Aug 15, 2014 (8 days) · Other
- W••••• F•••••••• S•••••••• L•• to U••• B•••••• A•••••••• L••left Mar 19, 2012, registered Jul 20, 2012 (123 days) · Other
- U••• B•••••• I••••••••• I••• to W••••• F•••••••• S•••••••• L••left Jan 27, 2010, registered Jan 28, 2010 (1 days) · Other
- C••••••• I••••••••• S••••••• to U••• B•••••• I••••••••• I•••left Jul 13, 2004, registered Mar 1, 2006 (596 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
- National broker-dealer RIAderived
- Years in industry
- 33derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address