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.
S•••• T••••• K•••••
- L•• F•••••••• L•• BD affiliated currentsince Nov 20, 2015 · La Mesa, Ca
- T•• F••••• F•••• I••• formerDec 3, 2012 to Sep 28, 2015 · Bethesda, Md
- D••••• P•••••• A••••••• formerNov 15, 2010 to Nov 1, 2011 · San Diego, Ca
- L•• F•••••••• L•• BD affiliatedMay 22, 2008 to Oct 27, 2009 · San Diego, Ca
- C••••••••• F•••••••• N•••••• national BDMar 12, 2007 to May 14, 2008 · San Diego, Ca
- C•••••• C•••••• M••••••••• G••••• I••• formerMar 6, 2006 to Mar 8, 2007 · San Diego, Ca
- L•• F•••••••• L•• BD affiliatedSep 24, 2002 to Feb 7, 2006 · San Diego, Ca
- T•• F••••• F•••• I••• to L•• F•••••••• L••left Sep 28, 2015, registered Nov 20, 2015 (53 days) · Other
- D••••• P•••••• A••••••• to T•• F••••• F•••• I•••left Nov 1, 2011, registered Dec 3, 2012 (398 days) · Other
- L•• F•••••••• L•• to D••••• P•••••• A•••••••left Oct 27, 2009, registered Nov 15, 2010 (384 days) · Other
- C••••••••• F•••••••• N•••••• to L•• F•••••••• L••left May 14, 2008, registered May 22, 2008 (8 days) · Other
- C•••••• C•••••• M••••••••• G••••• I••• to C••••••••• F•••••••• N••••••left Mar 8, 2007, registered Mar 12, 2007 (4 days) · Other
- L•• F•••••••• L•• to C•••••• C•••••• M••••••••• G••••• I•••left Feb 7, 2006, registered Mar 6, 2006 (27 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
- 25derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address