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.
P••••• A•••••• B••••
- C•••••••• F••••••••• I••• BD affiliated currentsince Aug 6, 2014 · Upland, Ca
- F•• S••••••••• C••••••••• formerMay 7, 2013 to Aug 8, 2014 · Atlanta, Ga
- L•• F•••••••• L•• BD affiliatedAug 1, 2005 to May 16, 2013 · San Dimas, Ca
- V••• F•••••••• A•••••••• I••• BD affiliatedJan 28, 2002 to Aug 2, 2005 · Upland, Ca
- F•• S••••••••• C••••••••• to C•••••••• F••••••••• I•••left Aug 8, 2014, registered Aug 6, 2014 (-2 days) · Other
- L•• F•••••••• L•• to F•• S••••••••• C•••••••••left May 16, 2013, registered May 7, 2013 (-9 days) · Other
- V••• F•••••••• A•••••••• I••• to L•• F•••••••• L••left Aug 2, 2005, registered Aug 1, 2005 (-1 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
- 33derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address