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.
E••••• J••••• L•••••
- L•• F•••••••• S•••••••• L•• state registered currentsince Mar 21, 2019 · San Juan Capistrano, Ca
- E••• F•••••••• S••••••• L•• state registeredNov 24, 2015 to Jul 25, 2019 · Anaheim, Ca
- O••••••••• A•••• M••••••••• BD affiliatedApr 15, 2003 to Nov 12, 2007 · New York, Ny
- O••••••••• • C•• I••• BD affiliatedJan 3, 2003 to Jan 5, 2016 · Santa Ana, Ca
- C••• W•••• M•••••• C•••• unclassifiedMar 12, 2002 to Jan 3, 2003 · New York, Ny
- E••• F•••••••• S••••••• L•• to L•• F•••••••• S•••••••• L••left Jul 25, 2019, registered Mar 21, 2019 (-126 days) · Other · moved with a team
- O••••••••• • C•• I••• to O••••••••• A•••• M•••••••••left Jan 5, 2016, registered Apr 15, 2003 (-4648 days) · Other · moved with a team
- O••••••••• A•••• M••••••••• to E••• F•••••••• S••••••• L••left Nov 12, 2007, registered Nov 24, 2015 (2934 days) · Other
- C••• W•••• M•••••• C•••• to O••••••••• • C•• I•••left Jan 3, 2003, registered Jan 3, 2003 (0 days) · corporate re-registration, not a move
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
- STATE REGISTEREDderived
- Years in industry
- 49derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address