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.
F•••••• J•••••••• P••••••
- C••••••• A•••• M••••••••• L•• BD affiliated currentsince Aug 1, 2018 · San Diego, Ca
- I••••••••• F•••••••• G••••• L•• BD affiliatedAug 7, 2012 to Jul 31, 2018 · San Diego, Ca
- F•••••••• D•••••• L••• unclassifiedMay 17, 2005 to Jul 30, 2014 · San Diego, Ca
- I••••••••• F•••••••• G••••• L•• to C••••••• A•••• M••••••••• L••left Jul 31, 2018, registered Aug 1, 2018 (1 days) · Affiliated broker-dealer or bank to another · moved with a team
- F•••••••• D•••••• L••• to I••••••••• F•••••••• G••••• L••left Jul 30, 2014, registered Aug 7, 2012 (-722 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
- 22derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address