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•••• L•• R•• B••••
- R•••••• J•••• • A••••••••• I••• national BD currentsince Jun 3, 2019 · Pasadena, Ca
- C••••••• • C••• I••• formerJun 27, 2018 to Jun 17, 2019 · Pasadena, Ca
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseOct 23, 2009 to Jul 27, 2018 · Pasadena, Ca
- B••• O• A•••••• I••••••••• S•••••••• I••• unclassifiedJul 14, 2006 to Oct 23, 2009 · Pasadena, Ca
- W•••• F•••• I••••••••• L•• unclassifiedAug 16, 2004 to Jul 7, 2006 · Glendora, Ca
- C••••••• • C••• I••• to R•••••• J•••• • A••••••••• I•••left Jun 17, 2019, registered Jun 3, 2019 (-14 days) · Affiliated broker-dealer or bank to another
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to C••••••• • C••• I•••left Jul 27, 2018, registered Jun 27, 2018 (-30 days) · Other · moved with a team
- B••• O• A•••••• I••••••••• S•••••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Oct 23, 2009, registered Oct 23, 2009 (0 days) · corporate re-registration, not a move
- W•••• F•••• I••••••••• L•• to B••• O• A•••••• I••••••••• S•••••••• I•••left Jul 7, 2006, registered Jul 14, 2006 (7 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
- National broker-dealer RIAderived
- Years in industry
- 22derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address