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••••••• M•••••• D••••••
- L•• F•••••••• L•• BD affiliated currentsince Feb 14, 2018 · Porter Ranch, Ca
- I••••• F•••••••• C••••••••• formerFeb 11, 2015 to Feb 14, 2018 · Porter Ranch, Ca
- R•••••• J•••• • A••••••••• I••• national BDSep 27, 2012 to Oct 8, 2014 · Westlake Village, Ca
- C•••••••• G••••• M•••••• I••• BD affiliatedMay 29, 2007 to Jun 7, 2011 · Glendale, Ca
- C••••••• I••••••••• S••••••• unclassifiedMar 7, 2006 to May 29, 2007 · Woodland Hills, Ca
- U••••• P•••••••• F•••••••• S••••••• O• A•••••• A• L•••••• P•••••• independent RIAJul 12, 2004 to Feb 28, 2006 · Oxnard, Ca
- S••••••••• S••••••••• I••• unclassifiedJun 10, 2003 to Mar 19, 2004 · Camarillo, Ca
- U•• F•••••••• S••••••• I••• wirehouseOct 29, 2001 to May 14, 2003 · Oxnard, Ca
- I••••• F•••••••• C••••••••• to L•• F•••••••• L••left Feb 14, 2018, registered Feb 14, 2018 (0 days) · corporate re-registration, not a move
- R•••••• J•••• • A••••••••• I••• to I••••• F•••••••• C•••••••••left Oct 8, 2014, registered Feb 11, 2015 (126 days) · Other
- C•••••••• G••••• M•••••• I••• to R•••••• J•••• • A••••••••• I•••left Jun 7, 2011, registered Sep 27, 2012 (478 days) · Other
- C••••••• I••••••••• S••••••• to C•••••••• G••••• M•••••• I•••left May 29, 2007, registered May 29, 2007 (0 days) · corporate re-registration, not a move
- U••••• P•••••••• F•••••••• S••••••• O• A•••••• A• L•••••• P•••••• to C••••••• I••••••••• S•••••••left Feb 28, 2006, registered Mar 7, 2006 (7 days) · Other
- S••••••••• S••••••••• I••• to U••••• P•••••••• F•••••••• S••••••• O• A•••••• A• L•••••• P••••••left Mar 19, 2004, registered Jul 12, 2004 (115 days) · Other
- U•• F•••••••• S••••••• I••• to S••••••••• S••••••••• I•••left May 14, 2003, registered Jun 10, 2003 (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