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.
I•••• L• F••••••••
- F•••••••• I••••••••• A••••••• state registered currentsince Dec 22, 2016 · Santa Barbara, Ca
- I••••••••• F•••••••• G••••• L•• BD affiliatedDec 12, 2008 to Dec 20, 2011 · San Diego, Ca
- E•••••••• A••••••• I•• unclassifiedApr 27, 2005 to Dec 12, 2008 · Roseville, Ca
- P•••••• W••• F•••••••• C••••••••• I•• formerAug 10, 2004 to Apr 26, 2005 · Carpinteria, Ca
- T••••••••• F•••••••• A•••••••• L•• BD affiliatedFeb 10, 2004 to Aug 19, 2004 · Carpinteria, Ca
- I••••••••• F•••••••• G••••• L•• to F•••••••• I••••••••• A•••••••left Dec 20, 2011, registered Dec 22, 2016 (1829 days) · Other
- E•••••••• A••••••• I•• to I••••••••• F•••••••• G••••• L••left Dec 12, 2008, registered Dec 12, 2008 (0 days) · Other
- P•••••• W••• F•••••••• C••••••••• I•• to E•••••••• A••••••• I••left Apr 26, 2005, registered Apr 27, 2005 (1 days) · Other
- T••••••••• F•••••••• A•••••••• L•• to P•••••• W••• F•••••••• C••••••••• I••left Aug 19, 2004, registered Aug 10, 2004 (-9 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
- STATE REGISTEREDderived
- Years in industry
- 22derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address