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••••• B••••
- L•• F•••••••• L•• BD affiliated currentsince Nov 29, 2017 · Torrance, Ca
- N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N•• formerJan 4, 2007 to Dec 1, 2017 · El Segundo, Ca
- U•• S••••••••• I••• no RAUMJul 1, 2004 to Jan 3, 2007 · Torrance, Ca
- A••••••••• P••••••• I••••••••• A••••••• I•• unclassifiedJul 8, 1997 to Apr 6, 2005 · Torrance, Ca
- N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N•• to L•• F•••••••• L••left Dec 1, 2017, registered Nov 29, 2017 (-2 days) · corporate re-registration, not a move
- U•• S••••••••• I••• to N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N••left Jan 3, 2007, registered Jan 4, 2007 (1 days) · Other
- A••••••••• P••••••• I••••••••• A••••••• I•• to U•• S••••••••• I•••left Apr 6, 2005, registered Jul 1, 2004 (-279 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
- 32derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address