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•••••• W••••• G•••••
- L•• F•••••••• L•• BD affiliated currentsince Jul 8, 2021 · Bradley, Ca
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseSep 13, 2004 to Jun 23, 2009 · Monterey, Ca
- M••••• S•••••• D• I••• unclassifiedDec 6, 2002 to Sep 13, 2004 · Monterey, Ca
- U•• F•••••••• S••••••• I••• wirehouseFeb 19, 1998 to Dec 17, 2002 · Carmel, Ca
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to L•• F•••••••• L••left Jun 23, 2009, registered Jul 8, 2021 (4398 days) · Wirehouse to affiliated broker-dealer or bank
- M••••• S•••••• D• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Sep 13, 2004, registered Sep 13, 2004 (0 days) · Other
- U•• F•••••••• S••••••• I••• to M••••• S•••••• D• I•••left Dec 17, 2002, registered Dec 6, 2002 (-11 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
- 28derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address