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.
K••• C••••••••• P••••••
- L•• F•••••••• L•• BD affiliated currentsince Dec 15, 2021 · Los Angeles, Ca
- S••••••••• A•••••• A•••••••• I••• formerOct 27, 2017 to Dec 21, 2021 · Huntington Beach, Ca
- N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N•• formerApr 1, 2014 to Nov 2, 2017 · Huntington Beach, Ca
- L•• F•••••••• L•• BD affiliatedFeb 19, 2013 to Sep 4, 2013 · Irvine, Ca
- T••••••• I••••••••• M••••••••• I••• BD affiliatedMay 31, 2005 to Nov 9, 2007 · Burbank, Ca
- S••••••••• A•••••• A•••••••• I••• to L•• F•••••••• L••left Dec 21, 2021, registered Dec 15, 2021 (-6 days) · corporate re-registration, not a move
- N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N•• to S••••••••• A•••••• A•••••••• I•••left Nov 2, 2017, registered Oct 27, 2017 (-6 days) · Other · moved with a team
- L•• F•••••••• L•• to N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N••left Sep 4, 2013, registered Apr 1, 2014 (209 days) · Other
- T••••••• I••••••••• M••••••••• I••• to L•• F•••••••• L••left Nov 9, 2007, registered Feb 19, 2013 (1929 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