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.
C••• J•••• C••••••
- E•• W••••• M••••••••• F••• L•• state registered currentsince May 10, 2021 · Los Angeles, Ca
- M•••••• A••••• S••••••••• L•• BD affiliatedDec 14, 2017 to Oct 6, 2021 · San Diego, Ca
- T•• R••••••••• G••••• L•• formerAug 19, 2014 to Dec 14, 2017 · Los Angeles, Ca
- F•• S••••••••• C••••••••• formerAug 12, 2014 to Dec 18, 2017 · San Diego, Ca
- C•••• C•••••• S••••••••• L••• formerMay 19, 2009 to Aug 18, 2014 · Orange, Ca
- L•• F•••••••• L•• BD affiliatedMay 26, 2004 to May 27, 2009 · Los Angeles, Ca
- F•••• A••••• S••••••••• I••• formerDec 17, 2003 to Jun 4, 2004 · Los Angeles, Ca
- M•••••• A••••• S••••••••• L•• to E•• W••••• M••••••••• F••• L••left Oct 6, 2021, registered May 10, 2021 (-149 days) · Affiliated broker-dealer or bank to a state-registered adviser
- F•• S••••••••• C••••••••• to T•• R••••••••• G••••• L••left Dec 18, 2017, registered Aug 19, 2014 (-1217 days) · Other
- T•• R••••••••• G••••• L•• to M•••••• A••••• S••••••••• L••left Dec 14, 2017, registered Dec 14, 2017 (0 days) · Other
- C•••• C•••••• S••••••••• L••• to F•• S••••••••• C•••••••••left Aug 18, 2014, registered Aug 12, 2014 (-6 days) · Other
- L•• F•••••••• L•• to C•••• C•••••• S••••••••• L•••left May 27, 2009, registered May 19, 2009 (-8 days) · Other
- F•••• A••••• S••••••••• I••• to L•• F•••••••• L••left Jun 4, 2004, registered May 26, 2004 (-9 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
- STATE REGISTEREDderived
- Years in industry
- 28derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address