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•••••• M••• H••••
- L•• F•••••••• L•• BD affiliated currentsince Jun 4, 2019 · Huntington Beach, Ca
- S••••• F•••••••• G•••• I•• formerNov 3, 2014 to Jun 10, 2019 · El Segundo, Ca
- L•• F•••••••• L•• BD affiliatedMar 5, 2010 to Nov 4, 2014 · Norwalk, Ca
- C•••• I••••••••• S••••••• C•••• formerMay 2, 2009 to Feb 18, 2010 · Garden Grove, Ca
- W••• I••••••••• I••• unclassifiedMar 24, 2009 to May 2, 2009 · Garden Grove, Ca
- S••••• F•••••••• G•••• I•• to L•• F•••••••• L••left Jun 10, 2019, registered Jun 4, 2019 (-6 days) · Affiliated broker-dealer or bank to independent RIA
- L•• F•••••••• L•• to S••••• F•••••••• G•••• I••left Nov 4, 2014, registered Nov 3, 2014 (-1 days) · Other
- C•••• I••••••••• S••••••• C•••• to L•• F•••••••• L••left Feb 18, 2010, registered Mar 5, 2010 (15 days) · Other
- W••• I••••••••• I••• to C•••• I••••••••• S••••••• C••••left May 2, 2009, registered May 2, 2009 (0 days) · corporate re-registration, not a move
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
- 22derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address