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.
K•••• L••• B•••••
- P••• F•••••••• A•••••••• L•• independent RIA currentsince Mar 23, 2009 · San Diego, Ca
- T•• G•••••• G•••• formerNov 22, 2006 to Jul 13, 2010 · Coronado, Ca
- L•• F•••••••• L•• BD affiliatedFeb 11, 2005 to Mar 9, 2009 · San Diego, Ca
- C••••• I••••••••• S••••••• L•• formerJun 11, 2002 to Jan 19, 2005 · El Cajon, Ca
- T•• G•••••• G•••• to P••• F•••••••• A•••••••• L••left Jul 13, 2010, registered Mar 23, 2009 (-477 days) · Other
- L•• F•••••••• L•• to T•• G•••••• G••••left Mar 9, 2009, registered Nov 22, 2006 (-838 days) · Other
- C••••• I••••••••• S••••••• L•• to L•• F•••••••• L••left Jan 19, 2005, registered Feb 11, 2005 (23 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
- Independent wealth managerderived
- Years in industry
- 26derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address