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•••••
- P••• F•••••••• A•••••••• L•• independent RIA currentsince Feb 16, 2012 · San Diego, Ca
- L•• F•••••••• L•• BD affiliatedJun 4, 2007 to Feb 9, 2012 · San Diego, Ca
- T•• H••••• G•••• unclassifiedMar 22, 2005 to May 17, 2006 · La Jolla, Ca
- C••••••••• F•••••••• N•••••• national BDFeb 25, 2005 to May 12, 2006 · La Jolla, Ca
- L•• F•••••••• L•• BD affiliatedJul 30, 1999 to Feb 23, 2005 · Solana Beach, Ca
- L•• F•••••••• L•• to P••• F•••••••• A•••••••• L••left Feb 9, 2012, registered Feb 16, 2012 (7 days) · Other
- T•• H••••• G•••• to L•• F•••••••• L••left May 17, 2006, registered Jun 4, 2007 (383 days) · Other
- C••••••••• F•••••••• N•••••• to T•• H••••• G••••left May 12, 2006, registered Mar 22, 2005 (-416 days) · Other
- L•• F•••••••• L•• to C••••••••• F•••••••• N••••••left Feb 23, 2005, registered Feb 25, 2005 (2 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
- Independent wealth managerderived
- Years in industry
- 32derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address