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.
L••••• L•••••
- C••••••••• F•••••••• N•••••• national BD currentsince Feb 5, 2018 · La Mesa, Ca
- G••• L••• A•••••••• L•• independent RIAJul 24, 2014 to Feb 26, 2018 · Celebration, Fl
- W•••••• • R••• formerNov 29, 2001 to Jul 29, 2014 · Lamesa, Ca
- G••• L••• A•••••••• L•• to C••••••••• F•••••••• N••••••left Feb 26, 2018, registered Feb 5, 2018 (-21 days) · Other · moved with a team
- W•••••• • R••• to G••• L••• A•••••••• L••left Jul 29, 2014, registered Jul 24, 2014 (-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
- National broker-dealer RIAderived
- Years in industry
- 24derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address