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.
P•••• J••••• M•••••
- C••••••• A•••• M••••••••• L•• BD affiliated currentsince Jul 27, 2018 · Ann Arbor, Mi
- I••••••••• F•••••••• G••••• L•• BD affiliatedNov 13, 2008 to Jul 24, 2018 · Hermosa Beach, Ca
- F•••••••• W••• G•••• formerAug 9, 2004 to Nov 13, 2008 · Manhattan Beach, Ca
- E•••••••• A•••••••• L•• national BDJul 5, 2001 to Aug 4, 2004 · Manhattan Beach, Ca
- I••••••••• F•••••••• G••••• L•• to C••••••• A•••• M••••••••• L••left Jul 24, 2018, registered Jul 27, 2018 (3 days) · Affiliated broker-dealer or bank to another · moved with a team
- F•••••••• W••• G•••• to I••••••••• F•••••••• G••••• L••left Nov 13, 2008, registered Nov 13, 2008 (0 days) · Other
- E•••••••• A•••••••• L•• to F•••••••• W••• G••••left Aug 4, 2004, registered Aug 9, 2004 (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