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••••••• K••••
- L•• F•••••••• L•• BD affiliated currentsince Dec 2, 2024 · Lancaster, Ca
- S•• I••••••••• A•••••••• I••• formerFeb 4, 2016 to Dec 2, 2024 · Palmdale, Ca
- I••••••••• P••••••• L•• independent RIADec 22, 2015 to Feb 9, 2016 · Palmdle, Ca
- S•• I••••••••• A•••••••• I••• to L•• F•••••••• L••left Dec 2, 2024, registered Dec 2, 2024 (0 days) · Affiliated broker-dealer or bank to another · moved with a team
- I••••••••• P••••••• L•• to S•• I••••••••• A•••••••• I•••left Feb 9, 2016, registered Feb 4, 2016 (-5 days) · Other · moved with a team
- M•••••• L••••••• K•••• left S•• I••••••••• A•••••••• I••• for L•• F•••••••• L•• (registered 2024-12-02)Dec 2, 2024 · Advisor changed firm · fact
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
- 31derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address