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•••••••••
- O••••••• independent RIA currentsince Aug 30, 2024 · Beachwood, Oh
- E•••••• F•••••••• E•••••• independent RIANov 1, 2018 to Sep 27, 2024 · San Diego, Ca
- E•••••• F•••••••• S•••••••• L•• formerSep 15, 2014 to Nov 1, 2018 · Costa Mesa, Ca
- C•••••• S••••• • C••• I••• national BDSep 11, 2002 to Sep 26, 2014 · Mission Viejo, Ca
- E•••••• F•••••••• E•••••• to O•••••••left Sep 27, 2024, registered Aug 30, 2024 (-28 days) · RIA to RIA
- E•••••• F•••••••• S•••••••• L•• to E•••••• F•••••••• E••••••left Nov 1, 2018, registered Nov 1, 2018 (0 days) · corporate re-registration, not a move
- C•••••• S••••• • C••• I••• to E•••••• F•••••••• S•••••••• L••left Sep 26, 2014, registered Sep 15, 2014 (-11 days) · Other
- J••••••• L••••• K••••••••• left E•••••• F•••••••• E•••••• for Oneseven (registered 2024-08-30)Sep 27, 2024 · Advisor changed firm · fact
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
- 24derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address