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.
O•••• L•• H•••••••
- L•• F•••••••• L•• BD affiliated currentsince Apr 3, 2017 · Santa Ana, Ca
- S••••••• P•••••• F••••••••• L•• formerApr 4, 2013 to Nov 15, 2016 · Fremont, Ca
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliatedOct 12, 2012 to Apr 2, 2013 · Santa Ana, Ca
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseOct 23, 2009 to Aug 7, 2012 · Beverly Hills, Ca
- B••• O• A•••••• I••••••••• S•••••••• I••• unclassifiedJan 27, 2003 to Oct 23, 2009 · Torrance, Ca
- B••• C•••••• I••••••••• S••••••••• I•• unclassifiedAug 7, 2002 to Jan 28, 2003 · Houston , Tx
- M••••• S•••••• D• I••• unclassifiedFeb 15, 2002 to Aug 6, 2002 · Houston, Tx
- S••••••• P•••••• F••••••••• L•• to L•• F•••••••• L••left Nov 15, 2016, registered Apr 3, 2017 (139 days) · Other · moved with a team
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• to S••••••• P•••••• F••••••••• L••left Apr 2, 2013, registered Apr 4, 2013 (2 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••left Aug 7, 2012, registered Oct 12, 2012 (66 days) · Other
- B••• O• A•••••• I••••••••• S•••••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Oct 23, 2009, registered Oct 23, 2009 (0 days) · corporate re-registration, not a move
- B••• C•••••• I••••••••• S••••••••• I•• to B••• O• A•••••• I••••••••• S•••••••• I•••left Jan 28, 2003, registered Jan 27, 2003 (-1 days) · Other
- M••••• S•••••• D• I••• to B••• C•••••• I••••••••• S••••••••• I••left Aug 6, 2002, registered Aug 7, 2002 (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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 26derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address