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•• J••• K••
- L•• F•••••••• L•• BD affiliated currentsince Oct 4, 2024 · Torrance, Ca
- C••••• I••••••••• A••••••• L•• BD affiliatedSep 13, 2024 to Oct 9, 2024 · Torrance, Ca
- L•• F•••••••• L•• BD affiliatedNov 3, 2023 to Sep 19, 2024 · Torrance, Ca
- C••• F•••••••• S•••••••• L••• formerJan 16, 2023 to Oct 17, 2023 · Glendale, Ca
- W••••• F•••••••• S•••••••• L•• formerJun 3, 2008 to Feb 6, 2023 · Signal Hill, Ca
- W•••• F•••• I••••••••• L•• unclassifiedFeb 8, 2008 to May 22, 2008 · Los Angeles, Ca
- U••• B•••••• I••••••••• I••• formerSep 5, 2007 to Feb 5, 2008 · Downey, Ca
- U•••• F•••••••• S••••••• G••••• I••• unclassifiedJul 28, 2005 to Apr 4, 2007 · Alhambra, Ca
- C••••• I••••••••• A••••••• L•• to L•• F•••••••• L••left Oct 9, 2024, registered Oct 4, 2024 (-5 days) · Affiliated broker-dealer or bank to another · moved with a team
- L•• F•••••••• L•• to C••••• I••••••••• A••••••• L••left Sep 19, 2024, registered Sep 13, 2024 (-6 days) · Affiliated broker-dealer or bank to another · moved with a team
- C••• F•••••••• S•••••••• L••• to L•• F•••••••• L••left Oct 17, 2023, registered Nov 3, 2023 (17 days) · Affiliated broker-dealer or bank to another
- W••••• F•••••••• S•••••••• L•• to C••• F•••••••• S•••••••• L•••left Feb 6, 2023, registered Jan 16, 2023 (-21 days) · RIA to affiliated broker-dealer or bank · moved with a team
- W•••• F•••• I••••••••• L•• to W••••• F•••••••• S•••••••• L••left May 22, 2008, registered Jun 3, 2008 (12 days) · Other
- U••• B•••••• I••••••••• I••• to W•••• F•••• I••••••••• L••left Feb 5, 2008, registered Feb 8, 2008 (3 days) · Other
- U•••• F•••••••• S••••••• G••••• I••• to U••• B•••••• I••••••••• I•••left Apr 4, 2007, registered Sep 5, 2007 (154 days) · Other
- P•• J••• K•• left C••••• I••••••••• A••••••• L•• for L•• F•••••••• L•• (registered 2024-10-04)Oct 9, 2024 · Advisor changed firm · fact
- P•• J••• K•• left L•• F•••••••• L•• for C••••• I••••••••• A••••••• L•• (registered 2024-09-13)Sep 19, 2024 · Advisor changed firm · fact
- P•• J••• K•• left C••• F•••••••• S•••••••• L••• for L•• F•••••••• L•• (registered 2023-11-03)Oct 17, 2023 · Advisor changed firm · fact
- P•• J••• K•• left W••••• F•••••••• S•••••••• L•• for C••• F•••••••• S•••••••• L••• (registered 2023-01-16)Feb 6, 2023 · Advisor changed firm · 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