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•••••• B•••••
- K•••••••• W••••• A•••••••• L•• BD affiliated currentsince Nov 7, 2022 · San Diego, Ca
- B• R•••• W••••• A•••••••• I••• BD affiliatedJan 22, 2014 to Nov 9, 2022 · Losa Angeles, Ca
- I••••••••• F•••••••• G••••• L•• BD affiliatedNov 21, 2008 to Jan 21, 2014 · San Diego, Ca
- F•••••••• W••• G•••• formerMar 4, 2005 to Nov 13, 2008 · Marina Del Rey, Ca
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseJan 5, 2001 to Mar 5, 2003 · Beverly Hills, Ca
- B• R•••• W••••• A•••••••• I••• to K•••••••• W••••• A•••••••• L••left Nov 9, 2022, registered Nov 7, 2022 (-2 days) · Affiliated broker-dealer or bank to independent RIA
- I••••••••• F•••••••• G••••• L•• to B• R•••• W••••• A•••••••• I•••left Jan 21, 2014, registered Jan 22, 2014 (1 days) · Other
- F•••••••• W••• G•••• to I••••••••• F•••••••• G••••• L••left Nov 13, 2008, registered Nov 21, 2008 (8 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to F•••••••• W••• G••••left Mar 5, 2003, registered Mar 4, 2005 (730 days) · Other
- J•••• A•••••• B••••• left B• R•••• W••••• A•••••••• I••• for K•••••••• W••••• A•••••••• L•• (registered 2022-11-07)Nov 9, 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
- 28derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address