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.
R•••••• M•••••• L••••••
- L••••• N••••• S••••• W••••• M••••••••• L•• state registered currentsince Jul 29, 2016 · L••••• N•••••, Ca
- I••••••••• F•••••••• G••••• L•• BD affiliatedApr 27, 2010 to Jul 18, 2016 · San Diego, Ca
- A•• A•••••• S••••••• L•• unclassifiedMar 1, 2006 to Apr 27, 2010 · L••••• N•••••, Ca
- W•••••• J••••• I••••••••• I••• unclassifiedSep 26, 2003 to Sep 10, 2004 · Lagura Hills, Ca
- I••••••••• F•••••••• G••••• L•• to L••••• N••••• S••••• W••••• M••••••••• L••left Jul 18, 2016, registered Jul 29, 2016 (11 days) · Other
- A•• A•••••• S••••••• L•• to I••••••••• F•••••••• G••••• L••left Apr 27, 2010, registered Apr 27, 2010 (0 days) · Other
- W•••••• J••••• I••••••••• I••• to A•• A•••••• S••••••• L••left Sep 10, 2004, registered Mar 1, 2006 (537 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
- STATE REGISTEREDderived
- Years in industry
- 27derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address