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.
- A••••••••• L•• independent RIA currentsince Apr 1, 2016 · Los Angeles, Ca
- T•• G••••••• G••••• L•• formerJul 7, 2014 to Apr 1, 2016 · Los Angeles, Ca
- C•••••• S••••• • C••• I••• national BDFeb 6, 2008 to Dec 13, 2013 · Phoenix, Az
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseSep 22, 2005 to Jan 23, 2008 · Scottsdale, Az
- T•• G••••••• G••••• L•• to A••••••••• L••left Apr 1, 2016, registered Apr 1, 2016 (0 days) · Other
- C•••••• S••••• • C••• I••• to T•• G••••••• G••••• L••left Dec 13, 2013, registered Jul 7, 2014 (206 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to C•••••• S••••• • C••• I•••left Jan 23, 2008, registered Feb 6, 2008 (14 days) · Wirehouse to affiliated broker-dealer or bank
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
- Independent wealth managerderived
- Years in industry
- 20derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address