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.
J•••• B•••• H•••••
- L•• F•••••••• L•• BD affiliated currentsince Jun 12, 2013 · Bakersfield, Ca
- C••• F•••••••• S•••••••• L••• formerAug 31, 2011 to Jun 13, 2013 · Bakersfield, Ca
- S••• I••••••••• C•••••• independent RIAApr 25, 2011 to Aug 30, 2011 · San Antonio, Tx
- S••• I••••••••• C•••••• independent RIAAug 4, 2008 to Mar 7, 2011 · San Antonio, Tx
- V•••• F•••••••• A•••••••• I••• BD affiliatedJan 4, 2008 to Jul 30, 2008 · Woodland Hills, Ca
- M•• F•••••••• S•••••••• I••• formerAug 17, 2004 to Mar 28, 2007 · Carlsbad, Ca
- A• G• E•••••• • S•••• I••• unclassifiedAug 25, 2003 to Jul 13, 2004 · Bakersfield, Ca
- C••• F•••••••• S•••••••• L••• to L•• F•••••••• L••left Jun 13, 2013, registered Jun 12, 2013 (-1 days) · Other
- S••• I••••••••• C•••••• to C••• F•••••••• S•••••••• L•••left Aug 30, 2011, registered Aug 31, 2011 (1 days) · Other
- V•••• F•••••••• A•••••••• I••• to S••• I••••••••• C••••••left Jul 30, 2008, registered Aug 4, 2008 (5 days) · Other
- M•• F•••••••• S•••••••• I••• to V•••• F•••••••• A•••••••• I•••left Mar 28, 2007, registered Jan 4, 2008 (282 days) · Other
- A• G• E•••••• • S•••• I••• to M•• F•••••••• S•••••••• I•••left Jul 13, 2004, registered Aug 17, 2004 (35 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