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.
D••••• K••••••• L••••
- L•• F•••••••• L•• BD affiliated currentsince Apr 15, 2020 · Folsom, Ca
- I•••• L••• F•••••••• A••••••• formerMay 17, 2016 to Jul 16, 2020 · Folsom, Ca
- C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliatedOct 30, 2015 to Mar 22, 2016 · Sacramento, Ca
- L•• F•••••••• L•• BD affiliatedApr 14, 2009 to Nov 4, 2015 · Sacramento, Ca
- A••••••••• F•••••••• S•••••••• L•• national BDDec 12, 2005 to Apr 15, 2009 · Roseville, Ca
- I•••• L••• F•••••••• A••••••• to L•• F•••••••• L••left Jul 16, 2020, registered Apr 15, 2020 (-92 days) · Other · moved with a team
- C•••••••• I••••••••• R••••••• A•••••••• I••• to I•••• L••• F•••••••• A•••••••left Mar 22, 2016, registered May 17, 2016 (56 days) · Other
- L•• F•••••••• L•• to C•••••••• I••••••••• R••••••• A•••••••• I•••left Nov 4, 2015, registered Oct 30, 2015 (-5 days) · Other
- A••••••••• F•••••••• S•••••••• L•• to L•• F•••••••• L••left Apr 15, 2009, registered Apr 14, 2009 (-1 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
- 20derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address