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.
C•••••••• A•• F•••
- L•• F•••••••• L•• BD affiliated currentsince Sep 1, 2020 · Arlington, Va
- L•••• C•••••• G•••• formerApr 20, 2010 to Sep 14, 2020 · San Diego, Ca
- R•••••• J• L•••• C••••••••• I••• unclassifiedJul 16, 2008 to Nov 11, 2010 · San Diego, Ca
- M•• I•••••••• S•••••••• L•• BD affiliatedFeb 13, 2003 to Oct 24, 2007 · Fairfax, Va
- A••••••••• F•••••••• S•••••••• L•• national BDOct 21, 2002 to Dec 7, 2002 · Owings Mills, Md
- L•••• C•••••• G•••• to L•• F•••••••• L••left Sep 14, 2020, registered Sep 1, 2020 (-13 days) · RIA to affiliated broker-dealer or bank · moved with a team
- R•••••• J• L•••• C••••••••• I••• to L•••• C•••••• G••••left Nov 11, 2010, registered Apr 20, 2010 (-205 days) · Other
- M•• I•••••••• S•••••••• L•• to R•••••• J• L•••• C••••••••• I•••left Oct 24, 2007, registered Jul 16, 2008 (266 days) · Other
- A••••••••• F•••••••• S•••••••• L•• to M•• I•••••••• S•••••••• L••left Dec 7, 2002, registered Feb 13, 2003 (68 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
- 23derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address