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.
J•••• S•••••• D••••••
- L•• F•••••••• L•• BD affiliated currentsince Nov 24, 2017 · San Diego, Ca
- N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N•• formerJul 10, 2012 to Oct 4, 2017 · El Segundo, Ca
- A••••••••• I••• BD affiliatedFeb 11, 2005 to Apr 16, 2010 · Concord, Ca
- S••••• C•••••• M••••••••• I•• unclassifiedMay 1, 2001 to Sep 17, 2002 · Menomonee Falls, Wi
- N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N•• to L•• F•••••••• L••left Oct 4, 2017, registered Nov 24, 2017 (51 days) · Other · moved with a team
- A••••••••• I••• to N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N••left Apr 16, 2010, registered Jul 10, 2012 (816 days) · Other
- S••••• C•••••• M••••••••• I•• to A••••••••• I•••left Sep 17, 2002, registered Feb 11, 2005 (878 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
- 32derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address