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•••• A••••••
- I••••••••• F•••••••• G••••• L•• BD affiliated currentsince May 8, 2013 · Loomis, Ca
- L•• F•••••••• L•• BD affiliatedFeb 10, 2011 to Mar 27, 2013 · Sacramento, Ca
- Q•• F•••••••• L•• unclassifiedMay 30, 2001 to Feb 11, 2011 · Omaha, Ne
- L•• F•••••••• L•• to I••••••••• F•••••••• G••••• L••left Mar 27, 2013, registered May 8, 2013 (42 days) · Other
- Q•• F•••••••• L•• to L•• F•••••••• L••left Feb 11, 2011, registered Feb 10, 2011 (-1 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
- 29derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address