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•••••• C••••
- T•• I••••••••• M••••••••• C•••••• L•• asset manager currentsince Nov 29, 2022 · Los Angeles, Ca
- S•••••••• A•••••••• L•• BD affiliatedFeb 9, 2021 to Nov 9, 2022 · San Antonio, Tx
- V•••• F•••••••• A•••••••• I••• BD affiliatedAug 6, 2018 to Feb 24, 2021 · Houston, Tx
- L•• F•••••••• L•• BD affiliatedSep 29, 2017 to Jul 3, 2018 · San Diego, Ca
- F•••••• F•••••••• S••••••••• L•• formerJul 28, 2017 to Aug 9, 2017 · Westlake Village, Ca
- O•••• W•••••• I••• BD affiliatedMar 28, 2016 to Jun 9, 2017 · S••••Sdale, Az
- E•••••• C•••••• M••••••••• L•• formerApr 1, 2013 to Apr 15, 2015 · Arlington, Va
- B••• S••••••••• L•• formerJan 2, 2013 to Mar 4, 2013 · Richmond, Va
- S•••• • S••••••••• L•• formerApr 21, 2011 to Jan 2, 2013 · Richmond, Va
- S••••••• I••••••••• S•••••••• I••• formerOct 30, 2007 to Apr 21, 2011 · Richmond, Va
- S•••••••• A•••••••• L•• to T•• I••••••••• M••••••••• C•••••• L••left Nov 9, 2022, registered Nov 29, 2022 (20 days) · Other
- V•••• F•••••••• A•••••••• I••• to S•••••••• A•••••••• L••left Feb 24, 2021, registered Feb 9, 2021 (-15 days) · Affiliated broker-dealer or bank to another
- L•• F•••••••• L•• to V•••• F•••••••• A•••••••• I•••left Jul 3, 2018, registered Aug 6, 2018 (34 days) · RIA to affiliated broker-dealer or bank
- F•••••• F•••••••• S••••••••• L•• to L•• F•••••••• L••left Aug 9, 2017, registered Sep 29, 2017 (51 days) · Other
- O•••• W•••••• I••• to F•••••• F•••••••• S••••••••• L••left Jun 9, 2017, registered Jul 28, 2017 (49 days) · Other
- E•••••• C•••••• M••••••••• L•• to O•••• W•••••• I•••left Apr 15, 2015, registered Mar 28, 2016 (348 days) · Other
- B••• S••••••••• L•• to E•••••• C•••••• M••••••••• L••left Mar 4, 2013, registered Apr 1, 2013 (28 days) · Other
- S•••• • S••••••••• L•• to B••• S••••••••• L••left Jan 2, 2013, registered Jan 2, 2013 (0 days) · corporate re-registration, not a move
- S••••••• I••••••••• S•••••••• I••• to S•••• • S••••••••• L••left Apr 21, 2011, registered Apr 21, 2011 (0 days) · Other
- J•••••• C•••• left S•••••••• A•••••••• L•• for T•• I••••••••• M••••••••• C•••••• L•• (registered 2022-11-29)Nov 9, 2022 · Advisor changed firm · fact
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
- Asset manager (funds and pooled vehicles)derived
- Years in industry
- 18derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address