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.
T•••• L•• G••••••
- A••• I•••••• I•• independent RIA currentsince Feb 6, 2023 · Las Vegas, Nv
- P•••••••• A••••••• national BDNov 3, 2016 to Jun 7, 2021 · Duluth, Ga
- C•••••• A•••••••• I••• formerJul 5, 2013 to Nov 10, 2014 · Poway, Ca
- L•• F•••••••• L•• BD affiliatedMay 19, 2003 to Mar 11, 2013 · San Diego, Ca
- R•• C•••••• M••••••• L•• national BDApr 8, 2002 to Apr 14, 2003 · San Francisco, Ca
- P•••••••• A••••••• to A••• I•••••• I••left Jun 7, 2021, registered Feb 6, 2023 (609 days) · Affiliated broker-dealer or bank to independent RIA
- C•••••• A•••••••• I••• to P•••••••• A•••••••left Nov 10, 2014, registered Nov 3, 2016 (724 days) · Other
- L•• F•••••••• L•• to C•••••• A•••••••• I•••left Mar 11, 2013, registered Jul 5, 2013 (116 days) · Other
- R•• C•••••• M••••••• L•• to L•• F•••••••• L••left Apr 14, 2003, registered May 19, 2003 (35 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
- Independent wealth managerderived
- Years in industry
- 29derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address