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••• H••••• S••••
- L•• F•••••••• L•• BD affiliated currentsince Oct 18, 2019 · Boca Raton, Fl
- P•••• F•••••••• G••••• L•• unclassifiedFeb 18, 2021 to Aug 25, 2022 · Newport Beach, Ca
- W•••• F•••• A••••••• wirehouseNov 14, 2018 to Sep 9, 2019 · Irvine, Ca
- N•••••••• B••••• B• L•• no RAUMMar 9, 2006 to Feb 6, 2018 · Newport Beach, Ca
- P•••• F•••••••• G••••• L•• to no registered destinationleft Aug 25, 2022 · Departure, no registered destination
- W•••• F•••• A••••••• to L•• F•••••••• L••left Sep 9, 2019, registered Oct 18, 2019 (39 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
- N•••••••• B••••• B• L•• to W•••• F•••• A•••••••left Feb 6, 2018, registered Nov 14, 2018 (281 days) · Other
- J••• H••••• S•••• no longer registered at P•••• F•••••••• G••••• L••; no later IA registration on IAPDAug 25, 2022 · Advisor departure · fact
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