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••• A••••• C•••
- L•• F•••••••• L•• BD affiliated currentsince Mar 10, 2015 · Glendale, Ca
- E•• F•••••••• A••••••• independent RIANov 11, 2009 to Mar 20, 2015 · Glendale, Ca
- A••••••• A••••••• S••••••• formerSep 18, 2007 to Nov 9, 2009 · Glendale, Ca
- P••• A••••• S••••••••• L•• BD affiliatedJul 6, 2007 to Sep 18, 2007 · Glendale, Ca
- L•••••• F•••••••• G•••• unclassifiedFeb 2, 2005 to Jun 22, 2007 · Monrovia, Ca
- S•• BD affiliatedJan 7, 2004 to Jul 27, 2005 · Monrovia, Ca
- W••••••• F•••••••• S•••••••• I••• formerFeb 21, 2003 to Aug 28, 2003 · Diamond Bar, Ca
- E•• F•••••••• A••••••• to L•• F•••••••• L••left Mar 20, 2015, registered Mar 10, 2015 (-10 days) · Other
- A••••••• A••••••• S••••••• to E•• F•••••••• A•••••••left Nov 9, 2009, registered Nov 11, 2009 (2 days) · Other
- P••• A••••• S••••••••• L•• to A••••••• A••••••• S•••••••left Sep 18, 2007, registered Sep 18, 2007 (0 days) · Other
- L•••••• F•••••••• G•••• to P••• A••••• S••••••••• L••left Jun 22, 2007, registered Jul 6, 2007 (14 days) · Other
- S•• to L•••••• F•••••••• G••••left Jul 27, 2005, registered Feb 2, 2005 (-175 days) · Other
- W••••••• F•••••••• S•••••••• I••• to S••left Aug 28, 2003, registered Jan 7, 2004 (132 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
- 28derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address