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••••••••
- L•• F•••••••• L•• BD affiliated currentsince Feb 14, 2018 · Valencia, Ca
- I••••• F•••••••• C••••••••• formerMay 1, 2017 to Feb 14, 2018 · Burbank, Ca
- C••••• A••••••• L•• formerOct 3, 2016 to May 15, 2017 · Monrovia, Ca
- I•••••••• C•••••• A••••••• formerFeb 26, 2014 to Oct 3, 2016 · Lynnfield, Ma
- I••••• F•••••••• C••••••••• formerAug 7, 2012 to Feb 27, 2014 · Burbank, Ca
- L•• F•••••••• L•• BD affiliatedApr 4, 2011 to Aug 10, 2012 · Santa Clarita, Ca
- B••••••• I••••••••• S•••••••• I••• ••••• formerNov 7, 2006 to Mar 18, 2011 · Pasadena, Ca
- Z•••• D•••••• I••• unclassifiedSep 25, 2006 to Nov 1, 2006 · Los Angeles, Ca
- U••• B•••••• A•••••••• L•• BD affiliatedFeb 16, 2006 to Sep 26, 2006 · Santa Ana, Ca
- I••••• F•••••••• C••••••••• to L•• F•••••••• L••left Feb 14, 2018, registered Feb 14, 2018 (0 days) · corporate re-registration, not a move
- C••••• A••••••• L•• to I••••• F•••••••• C•••••••••left May 15, 2017, registered May 1, 2017 (-14 days) · Other
- I•••••••• C•••••• A••••••• to C••••• A••••••• L••left Oct 3, 2016, registered Oct 3, 2016 (0 days) · channel change inside one enterprise, not a move · moved with a team
- I••••• F•••••••• C••••••••• to I•••••••• C•••••• A•••••••left Feb 27, 2014, registered Feb 26, 2014 (-1 days) · Other
- L•• F•••••••• L•• to I••••• F•••••••• C•••••••••left Aug 10, 2012, registered Aug 7, 2012 (-3 days) · Other
- B••••••• I••••••••• S•••••••• I••• ••••• to L•• F•••••••• L••left Mar 18, 2011, registered Apr 4, 2011 (17 days) · Other
- Z•••• D•••••• I••• to B••••••• I••••••••• S•••••••• I••• •••••left Nov 1, 2006, registered Nov 7, 2006 (6 days) · Other
- U••• B•••••• A•••••••• L•• to Z•••• D•••••• I•••left Sep 26, 2006, registered Sep 25, 2006 (-1 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