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.
E••• L• R•••
- L•• F•••••••• L•• BD affiliated currentsince May 1, 2024 · Long Beach, Ca
- C•••• C•••••• S••••••••• L••• formerOct 21, 2009 to May 1, 2024 · Long Beach, Ca
- L•• F•••••••• L•• BD affiliatedSep 16, 2008 to Oct 30, 2009 · Los Angeles, Ca
- E••••• J•••• national BDApr 20, 2007 to Sep 4, 2008 · Long Beach, Ca
- C•••• C•••••• S••••••••• L••• to L•• F•••••••• L••left May 1, 2024, registered May 1, 2024 (0 days) · corporate re-registration, not a move
- L•• F•••••••• L•• to C•••• C•••••• S••••••••• L•••left Oct 30, 2009, registered Oct 21, 2009 (-9 days) · Other
- E••••• J•••• to L•• F•••••••• L••left Sep 4, 2008, registered Sep 16, 2008 (12 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
- 21derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address