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.
A•••••••• E••• L••••••
- I••••••••• F•••••••• G••••• L•• BD affiliated currentsince May 11, 2010 · Alhambra, Ca
- A•• A•••••• S••••••• L•• unclassifiedMay 26, 2009 to Apr 29, 2010 · Northridge, Ca
- U•• F•••••••• S••••••• I••• wirehouseApr 1, 2008 to Jun 19, 2009 · La Jolla, Ca
- M•• I•••••••• S•••••••• L•• BD affiliatedJul 2, 1999 to Apr 3, 2008 · Northridge, Ca
- A•• A•••••• S••••••• L•• to I••••••••• F•••••••• G••••• L••left Apr 29, 2010, registered May 11, 2010 (12 days) · Other
- U•• F•••••••• S••••••• I••• to A•• A•••••• S••••••• L••left Jun 19, 2009, registered May 26, 2009 (-24 days) · Other
- M•• I•••••••• S•••••••• L•• to U•• F•••••••• S••••••• I•••left Apr 3, 2008, registered Apr 1, 2008 (-2 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