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.
L•••• G••••• W•••
- G• A• R••••• • C•••••• BD affiliated currentsince May 16, 2012 · Casselberry, Fl
- C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliatedJun 21, 2011 to Aug 7, 2012 · Newport Beach, Ca
- S••••••••• F••••••••• I••• unclassifiedMay 1, 2009 to Sep 22, 2011 · Riverside, Ca
- M••••• S•••••• • C•• L•• unclassifiedApr 2, 2007 to May 4, 2009 · Laguna Beach, Ca
- M••••• S•••••• D• I••• unclassifiedOct 13, 2000 to Apr 2, 2007 · Laguna Beach, Ca
- C•••••••• I••••••••• R••••••• A•••••••• I••• to G• A• R••••• • C••••••left Aug 7, 2012, registered May 16, 2012 (-83 days) · Other
- S••••••••• F••••••••• I••• to C•••••••• I••••••••• R••••••• A•••••••• I•••left Sep 22, 2011, registered Jun 21, 2011 (-93 days) · Other
- M••••• S•••••• • C•• L•• to S••••••••• F••••••••• I•••left May 4, 2009, registered May 1, 2009 (-3 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
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