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••• K••••
- L•• F•••••••• L•• BD affiliated currentsince Nov 29, 2017 · Dixon, Ca
- N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N•• formerJul 25, 2014 to Nov 29, 2017 · Lodi, Ca
- W•••• F•••• A••••••• wirehouseMay 16, 2012 to Jul 21, 2014 · Galt, Ca
- P•• M•••••• A•••••• S••••••••• I••• formerOct 27, 2010 to May 11, 2012 · Lodi, Ca
- N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N•• to L•• F•••••••• L••left Nov 29, 2017, registered Nov 29, 2017 (0 days) · Other · moved with a team
- W•••• F•••• A••••••• to N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N••left Jul 21, 2014, registered Jul 25, 2014 (4 days) · Other
- P•• M•••••• A•••••• S••••••••• I••• to W•••• F•••• A•••••••left May 11, 2012, registered May 16, 2012 (5 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