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.
R•••••• J••••• L••••
- L•• F•••••••• L•• BD affiliated currentsince Sep 1, 2020 · San Diego, Ca
- P•••••• C••••••• L•• formerApr 1, 2013 to Sep 30, 2020 · San Diego, Ca
- L•••• C•••••• G•••• formerApr 9, 2010 to Oct 5, 2020 · San Diego, Ca
- R•• F•••••••• N••••••• L••••• unclassifiedApr 19, 2004 to Feb 22, 2006 · Omaha, Ne
- R•••••• J• L•••• C••••••••• I••• unclassifiedNov 6, 2002 to Nov 12, 2010 · San Diego, Ca
- 2••• F•••••••• unclassifiedSep 18, 2001 to Nov 19, 2002 · San Diego, Ca
- L•••• C•••••• G•••• to P•••••• C••••••• L••left Oct 5, 2020, registered Apr 1, 2013 (-2744 days) · Other · moved with a team
- P•••••• C••••••• L•• to L•• F•••••••• L••left Sep 30, 2020, registered Sep 1, 2020 (-29 days) · Other · moved with a team
- R•••••• J• L•••• C••••••••• I••• to R•• F•••••••• N••••••• L•••••left Nov 12, 2010, registered Apr 19, 2004 (-2398 days) · Other
- R•• F•••••••• N••••••• L••••• to L•••• C•••••• G••••left Feb 22, 2006, registered Apr 9, 2010 (1507 days) · Other
- 2••• F•••••••• to R•••••• J• L•••• C••••••••• I•••left Nov 19, 2002, registered Nov 6, 2002 (-13 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
- 26derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address