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.
A•••• H••••••••
- I••••••••• F•••••••• P••••••• BD affiliated currentsince Mar 21, 2022 · Glendale, Ca
- V•••• C•••••• P•••••••• L•• i••••••••• wealthMay 23, 2017 to Oct 16, 2020 · Northridge, Ca
- L•• F•••••••• L•• BD affiliatedDec 15, 2016 to May 2, 2017 · Thousand Oaks, Ca
- V•••• C•••••• P•••••••• L•• to I••••••••• F•••••••• P•••••••left Oct 16, 2020, registered Mar 21, 2022 (521 days) · RIA to affiliated broker-dealer or bank
- L•• F•••••••• L•• to V•••• C•••••• P•••••••• L••left May 2, 2017, registered May 23, 2017 (21 days) · Other · moved with a team
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
- 24derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address