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.
L••••••• E••••• L•••••
- O•••• W•••••• I••• BD affiliated currentsince Jan 19, 2024 · Wilton, Ca
- W••••••• F•••••••• S•••••••• I••• formerFeb 19, 2019 to Jan 19, 2024 · Wilton, Ca
- I••••••••• F•••••••• G••••• L•• BD affiliatedJul 21, 2009 to Mar 1, 2019 · Wilton, Ca
- C••••• A•••••• N••••••• L•• formerAug 13, 2008 to Jul 30, 2009 · Rancho Cordova, Ca
- P•••••• P••••••• S••••••••• I••• unclassifiedJan 11, 1999 to Aug 13, 2008 · Wilton, Ca
- W••••••• F•••••••• S•••••••• I••• to O•••• W•••••• I•••left Jan 19, 2024, registered Jan 19, 2024 (0 days) · corporate re-registration, not a move
- I••••••••• F•••••••• G••••• L•• to W••••••• F•••••••• S•••••••• I•••left Mar 1, 2019, registered Feb 19, 2019 (-10 days) · Affiliated broker-dealer or bank to another
- C••••• A•••••• N••••••• L•• to I••••••••• F•••••••• G••••• L••left Jul 30, 2009, registered Jul 21, 2009 (-9 days) · Other
- P•••••• P••••••• S••••••••• I••• to C••••• A•••••• N••••••• L••left Aug 13, 2008, registered Aug 13, 2008 (0 days) · corporate re-registration, not a move
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