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.
M•••••• L•• L••••
- M•• S••••••••• L•• no RAUM currentsince Sep 27, 2021 · San Diego, Ca
- L•••••• I••••••••• A•••••••• L•• no RAUMDec 12, 2017 to Aug 20, 2021 · Los Angeles, Ca
- P••••••• I••••••••• I••• institutionalFeb 17, 2015 to Nov 30, 2017 · Carlsbad, Ca
- L•• F•••••••• L•• BD affiliatedFeb 14, 2011 to Mar 5, 2013 · San Diego, Ca
- L•••••• I••••••••• A•••••••• L•• to M•• S••••••••• L••left Aug 20, 2021, registered Sep 27, 2021 (38 days) · Other
- P••••••• I••••••••• I••• to L•••••• I••••••••• A•••••••• L••left Nov 30, 2017, registered Dec 12, 2017 (12 days) · Other
- L•• F•••••••• L•• to P••••••• I••••••••• I•••left Mar 5, 2013, registered Feb 17, 2015 (714 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
- No RAUM reportedderived
- Years in industry
- 31derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address