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.
E•••••• L••• J••••••
- L•• F•••••••• L•• BD affiliated currentsince Feb 19, 2013 · Oakland, Ca
- W••••••• A•••• M••••••••• L•• unclassifiedAug 25, 2011 to Jan 9, 2013 · Oakland, Ca
- L•••••• W••••• M••••••••• L•• formerJul 10, 2008 to Feb 20, 2013 · Oakland, Ca
- L•••••• G••••• L•• unclassifiedJul 2, 2003 to May 30, 2008 · Oakland, Ca
- L•••••• W••••• M••••••••• L•• to W••••••• A•••• M••••••••• L••left Feb 20, 2013, registered Aug 25, 2011 (-545 days) · Other
- W••••••• A•••• M••••••••• L•• to L•• F•••••••• L••left Jan 9, 2013, registered Feb 19, 2013 (41 days) · Other
- L•••••• G••••• L•• to L•••••• W••••• M••••••••• L••left May 30, 2008, registered Jul 10, 2008 (41 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