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.
- L•• F•••••••• L•• BD affiliated currentsince Oct 25, 2022 · Pasadena, Ca
- I••••••••• F•••••••• G••••• L•• BD affiliatedApr 29, 2019 to Oct 24, 2022 · Porter Ranch, Ca
- U••• B•••••• A•••••••• L•• BD affiliatedOct 28, 2016 to May 13, 2019 · Los Angeles, Ca
- W•••• F•••• A••••••• wirehouseJan 3, 2011 to Nov 3, 2016 · Pasadena, Ca
- W•••• F•••• I••••••••• L•• unclassifiedAug 18, 2010 to Jan 3, 2011 · Pasadena, Ca
- M••••• S•••••• wirehouseJun 1, 2009 to Aug 30, 2010 · Pasadena, Ca
- C•••••••• G••••• M•••••• I••• BD affiliatedJul 14, 2006 to Jun 1, 2009 · Pasadena, Ca
- V•••• F•••••••• A•••••••• I••• BD affiliatedJun 5, 2003 to Aug 1, 2006 · Glendale, Ca
- I••••••••• F•••••••• G••••• L•• to L•• F•••••••• L••left Oct 24, 2022, registered Oct 25, 2022 (1 days) · Affiliated broker-dealer or bank to independent RIA
- U••• B•••••• A•••••••• L•• to I••••••••• F•••••••• G••••• L••left May 13, 2019, registered Apr 29, 2019 (-14 days) · Affiliated broker-dealer or bank to independent RIA
- W•••• F•••• A••••••• to U••• B•••••• A•••••••• L••left Nov 3, 2016, registered Oct 28, 2016 (-6 days) · Other
- W•••• F•••• I••••••••• L•• to W•••• F•••• A•••••••left Jan 3, 2011, registered Jan 3, 2011 (0 days) · corporate re-registration, not a move
- M••••• S•••••• to W•••• F•••• I••••••••• L••left Aug 30, 2010, registered Aug 18, 2010 (-12 days) · Other
- C•••••••• G••••• M•••••• I••• to M••••• S••••••left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
- V•••• F•••••••• A•••••••• I••• to C•••••••• G••••• M•••••• I•••left Aug 1, 2006, registered Jul 14, 2006 (-18 days) · Other
- A••••• P••• left I••••••••• F•••••••• G••••• L•• for L•• F•••••••• L•• (registered 2022-10-25)Oct 24, 2022 · Advisor changed firm · fact
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