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.
- S•••••• S••••••••• L•• no RAUM currentsince Jan 1, 2025 · Los Angeles, Ca
- T•• P•••••• G•••• former currentsince Dec 5, 2019 · Los Angeles, Ca
- E•••••••• A•••••••• L•• national BDMar 25, 2002 to Sep 5, 2018 · New York, Ny
- E•••••••• A•••••••• L•• to T•• P•••••• G••••left Sep 5, 2018, registered Dec 5, 2019 (456 days) · Affiliated broker-dealer or bank to independent RIA
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
- Former SEC-registered adviserderived
- Years in industry
- 24derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address