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•••••• L• W••••••••
- J••• M••••• S••••••••• L•• wirehouse currentsince Jun 14, 2022 · Newport Beach, Ca
- W•••• F•••• I••••••••• L•• unclassifiedJul 1, 2004 to Feb 28, 2005 · Foothill Ranch, Ca
- N••••••• T•••• S••••••••• I•• BD affiliatedNov 6, 2002 to Jun 27, 2003 · Newport Beach, Ca
- W•••• F•••• I••••••••• L•• to J••• M••••• S••••••••• L••left Feb 28, 2005, registered Jun 14, 2022 (6315 days) · Other
- N••••••• T•••• S••••••••• I•• to W•••• F•••• I••••••••• L••left Jun 27, 2003, registered Jul 1, 2004 (370 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
- Wirehousederived
- Years in industry
- 32derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address