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.
E••••• J•••• C••
- I••••••••• F•••••••• G••••• L•• BD affiliated currentsince Apr 20, 2016 · Indio, Ca
- N•• A•••••• S•••••••• L•• formerFeb 29, 2016 to Mar 2, 2016 · Laquinta, Ca
- C••••••••• F•••••••• N•••••• national BDMar 15, 2005 to Feb 29, 2016 · La Quinta, Ca
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseMay 8, 2001 to Mar 2, 2005 · Indian Wells, Ca
- N•• A•••••• S•••••••• L•• to I••••••••• F•••••••• G••••• L••left Mar 2, 2016, registered Apr 20, 2016 (49 days) · Other
- C••••••••• F•••••••• N•••••• to N•• A•••••• S•••••••• L••left Feb 29, 2016, registered Feb 29, 2016 (0 days) · Other · moved with a team
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to C••••••••• F•••••••• N••••••left Mar 2, 2005, registered Mar 15, 2005 (13 days) · Wirehouse to affiliated broker-dealer or bank
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