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.
M•••••• G•••••• A•••
- C••••••••• F•••••••• N•••••• national BD currentsince Jun 23, 2020 · San Diego, Ca
- S••••••• P•••••• F••••••••• L•• formerMar 1, 2018 to Feb 22, 2019 · San Diego, Ca
- C••• F•••••••• S•••••••• L••• formerMar 1, 2018 to Feb 22, 2019 · San Diego, Ca
- I••••••••• F•••••••• G••••• L•• BD affiliatedJun 10, 2010 to Mar 2, 2018 · Westlake Village, Ca
- S••••••• P•••••• F••••••••• L•• to C••••••••• F•••••••• N••••••left Feb 22, 2019, registered Jun 23, 2020 (487 days) · RIA to affiliated broker-dealer or bank
- C••• F•••••••• S•••••••• L••• to S••••••• P•••••• F••••••••• L••left Feb 22, 2019, registered Mar 1, 2018 (-358 days) · channel change inside one enterprise, not a move
- I••••••••• F•••••••• G••••• L•• to C••• F•••••••• S•••••••• L•••left Mar 2, 2018, registered Mar 1, 2018 (-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
- National broker-dealer RIAderived
- Years in industry
- 26derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address