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.
H•••• R•••••• G••••••••
- L•• F•••••••• L•• BD affiliated currentsince Feb 10, 2003 · Prescott, Az
- F•••••••• P••••••• C••••••••• L•• formerFeb 6, 2002 to Mar 28, 2014 · San Jose, Ca
- C•••••••• F••••••••• I••• BD affiliatedMay 30, 2000 to Feb 18, 2003 · Orange, Ca
- F•••••••• P••••••• C••••••••• L•• to L•• F•••••••• L••left Mar 28, 2014, registered Feb 10, 2003 (-4064 days) · Other
- C•••••••• F••••••••• I••• to F•••••••• P••••••• C••••••••• L••left Feb 18, 2003, registered Feb 6, 2002 (-377 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
- 27derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address