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.
J••••••• L•• E•••••
- A••••••••• F•••••••• S•••••••• L•• national BD currentsince Jun 20, 2018 · El Segundo, Ca
- S••• BD affiliatedApr 13, 2010 to Jun 26, 2018 · Los Angeles, Ca
- M••••• S•••••• • C•• L•• unclassifiedApr 2, 2007 to Nov 27, 2007 · Torrance, Ca
- M••••• S•••••• D• I••• unclassifiedOct 31, 2006 to Apr 2, 2007 · Torrance, Ca
- C••••••• I••••••••• S••••••• unclassifiedMar 29, 2006 to Apr 18, 2006 · Costa Mesa, Ca
- W•••• F•••• I••••••••• L•• unclassifiedMar 11, 2004 to Jul 1, 2005 · Redondo Beach, Ca
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseJun 27, 2000 to Mar 12, 2004 · Santa Barbara, Ca
- S••• to A••••••••• F•••••••• S•••••••• L••left Jun 26, 2018, registered Jun 20, 2018 (-6 days) · RIA to affiliated broker-dealer or bank
- M••••• S•••••• • C•• L•• to S•••left Nov 27, 2007, registered Apr 13, 2010 (868 days) · Other
- M••••• S•••••• D• I••• to M••••• S•••••• • C•• L••left Apr 2, 2007, registered Apr 2, 2007 (0 days) · corporate re-registration, not a move
- C••••••• I••••••••• S••••••• to M••••• S•••••• D• I•••left Apr 18, 2006, registered Oct 31, 2006 (196 days) · Other
- W•••• F•••• I••••••••• L•• to C••••••• I••••••••• S•••••••left Jul 1, 2005, registered Mar 29, 2006 (271 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to W•••• F•••• I••••••••• L••left Mar 12, 2004, registered Mar 11, 2004 (-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