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•••••• S•••
- L•• F•••••••• L•• BD affiliated currentsince Jan 8, 2025 · Carlsbad, Ca
- C••••• C•••••• G•••• independent RIASep 16, 2019 to Apr 30, 2020 · Encinitas, Ca
- C•••••• C••••• G••••• I••• no RAUMJun 7, 2013 to Sep 28, 2018 · Los Angeles, Ca
- B••• O• A•••••• I••••••••• S•••••••• I••• unclassifiedJan 10, 2006 to Mar 7, 2007 · Los Angeles, Ca
- B••• A•••••••• L•• formerFeb 11, 2005 to Nov 28, 2005 · Los Angeles, Ca
- B•••• D••••••••• L•• unclassifiedJan 1, 2003 to Feb 25, 2005 · Los Angeles, Ca
- S••••••• BD affiliatedDec 5, 2001 to Jan 1, 2003 · Charlotte , Nc
- C••••• C•••••• G•••• to L•• F•••••••• L••left Apr 30, 2020, registered Jan 8, 2025 (1714 days) · RIA to affiliated broker-dealer or bank
- C•••••• C••••• G••••• I••• to C••••• C•••••• G••••left Sep 28, 2018, registered Sep 16, 2019 (353 days) · Other
- B••• O• A•••••• I••••••••• S•••••••• I••• to C•••••• C••••• G••••• I•••left Mar 7, 2007, registered Jun 7, 2013 (2284 days) · Other
- B••• A•••••••• L•• to B••• O• A•••••• I••••••••• S•••••••• I•••left Nov 28, 2005, registered Jan 10, 2006 (43 days) · Other
- B•••• D••••••••• L•• to B••• A•••••••• L••left Feb 25, 2005, registered Feb 11, 2005 (-14 days) · Other
- S••••••• to B•••• D••••••••• L••left Jan 1, 2003, registered Jan 1, 2003 (0 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
- 27derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address