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••••••• M•••••• B••••
- L•• F•••••••• L•• BD affiliated currentsince Dec 16, 2021 · San Diego, Ca
- S••••••••• A•••••• A•••••••• I••• formerOct 20, 2017 to Dec 21, 2021 · Antelope, Ca
- N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N•• formerAug 2, 2017 to Oct 26, 2017 · Antelope, Ca
- L•• F•••••••• L•• BD affiliatedJul 19, 2016 to Aug 4, 2017 · Antelope, Ca
- C••••• A•••••• N••••••• L•• formerAug 13, 2008 to Jul 20, 2016 · Roseville, Ca
- P•••••• P••••••• S••••••••• I••• unclassifiedOct 21, 2003 to Aug 13, 2008 · Sacramento, Ca
- S••••••••• A•••••• A•••••••• I••• to L•• F•••••••• L••left Dec 21, 2021, registered Dec 16, 2021 (-5 days) · corporate re-registration, not a move
- N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N•• to S••••••••• A•••••• A•••••••• I•••left Oct 26, 2017, registered Oct 20, 2017 (-6 days) · Other · moved with a team
- L•• F•••••••• L•• to N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N••left Aug 4, 2017, registered Aug 2, 2017 (-2 days) · Other
- C••••• A•••••• N••••••• L•• to L•• F•••••••• L••left Jul 20, 2016, registered Jul 19, 2016 (-1 days) · Other · moved with a team
- P•••••• P••••••• S••••••••• I••• to C••••• A•••••• N••••••• L••left Aug 13, 2008, registered Aug 13, 2008 (0 days) · corporate re-registration, not a move
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