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••••• G•••• S•••••••••
- E•••••••• A•••••••• L•• national BD currentsince Jan 6, 2022 · San Diego, Ca
- L•• F•••••••• L•• BD affiliatedNov 12, 2020 to Nov 29, 2021 · San Diego, Ca
- N•• E•••••• S••••••••• C••••••••• formerAug 4, 2011 to Mar 27, 2013 · Woodland Hills, Ca
- L•• F•••••••• L•• BD affiliatedSep 17, 2007 to Mar 26, 2009 · San Diego, Ca
- L•• F•••••••• L•• to E•••••••• A•••••••• L••left Nov 29, 2021, registered Jan 6, 2022 (38 days) · Affiliated broker-dealer or bank to another
- N•• E•••••• S••••••••• C••••••••• to L•• F•••••••• L••left Mar 27, 2013, registered Nov 12, 2020 (2787 days) · Other
- L•• F•••••••• L•• to N•• E•••••• S••••••••• C•••••••••left Mar 26, 2009, registered Aug 4, 2011 (861 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