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.
F•••••• J•••••
- L•• F•••••••• L•• BD affiliated currentsince Jul 19, 2023 · Tahoe City, Ca
- B••••••• I••••••••• S•••••••• I••• ••••• formerApr 29, 2016 to Jul 19, 2023 · Truckee, Ca
- N•• Y••• L••• I••••••••• M••••••••• L•• asset managerSep 3, 2008 to Nov 19, 2009 · New Y•••, Ny
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseJun 7, 2004 to Aug 30, 2004 · Salt Lake City, Ut
- B••••••• I••••••••• S•••••••• I••• ••••• to L•• F•••••••• L••left Jul 19, 2023, registered Jul 19, 2023 (0 days) · corporate re-registration, not a move
- N•• Y••• L••• I••••••••• M••••••••• L•• to B••••••• I••••••••• S•••••••• I••• •••••left Nov 19, 2009, registered Apr 29, 2016 (2353 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to N•• Y••• L••• I••••••••• M••••••••• L••left Aug 30, 2004, registered Sep 3, 2008 (1465 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 30derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address