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.
D•••• C••••• S••••••
- M••••• A•••••••• L•• BD affiliated currentsince Jan 7, 2019 · Valencia, Ca
- L•• F•••••••• L•• BD affiliatedNov 29, 2017 to Dec 31, 2018 · Valencia, Ca
- F•••••••• S••••••• M••••••••• I•• independent RIAMar 16, 2016 to Nov 2, 2017 · Valencia, Ca
- N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N•• formerFeb 14, 2011 to Nov 29, 2017 · Santa Clarita, Ca
- L•• F•••••••• L•• to M••••• A•••••••• L••left Dec 31, 2018, registered Jan 7, 2019 (7 days) · RIA to affiliated broker-dealer or bank
- N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N•• to F•••••••• S••••••• M••••••••• I••left Nov 29, 2017, registered Mar 16, 2016 (-623 days) · Other
- F•••••••• S••••••• M••••••••• I•• to L•• F•••••••• L••left Nov 2, 2017, registered Nov 29, 2017 (27 days) · Other · moved with a team
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
- 34derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address