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.
D••••• J••• D•••••
- C••••••• A•••• M••••••••• L•• BD affiliated currentsince Sep 4, 2014 · Ann Arbor, Mi
- I••••••••• F•••••••• G••••• L•• BD affiliatedJan 7, 2009 to Sep 4, 2014 · San Diego, Ca
- E•••••••• A••••••• I•• unclassifiedNov 2, 2007 to Dec 22, 2008 · Roseville, Ca
- L•• F•••••••• L•• BD affiliatedJul 19, 2004 to Nov 20, 2007 · Anaheim, Ca
- H••••••••• G••••• E••••• • R••••••••• S••••••••• unclassifiedJul 30, 2003 to Nov 2, 2004 · Los Angelos, Ca
- S••••••••• S••••••••• I••• unclassifiedJan 9, 2003 to Jul 23, 2004 · Torrance, Ca
- A••••••••• F•••••••• S•••••••• L•• national BDDec 15, 1997 to Jan 27, 2003 · Los Angeles, Ca
- I••••••••• F•••••••• G••••• L•• to C••••••• A•••• M••••••••• L••left Sep 4, 2014, registered Sep 4, 2014 (0 days) · Other
- E•••••••• A••••••• I•• to I••••••••• F•••••••• G••••• L••left Dec 22, 2008, registered Jan 7, 2009 (16 days) · Other
- L•• F•••••••• L•• to E•••••••• A••••••• I••left Nov 20, 2007, registered Nov 2, 2007 (-18 days) · Other
- H••••••••• G••••• E••••• • R••••••••• S••••••••• to L•• F•••••••• L••left Nov 2, 2004, registered Jul 19, 2004 (-106 days) · Other
- S••••••••• S••••••••• I••• to H••••••••• G••••• E••••• • R••••••••• S•••••••••left Jul 23, 2004, registered Jul 30, 2003 (-359 days) · Other
- A••••••••• F•••••••• S•••••••• L•• to S••••••••• S••••••••• I•••left Jan 27, 2003, registered Jan 9, 2003 (-18 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