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.
J••••• J••••• W•••••••
- E•••••• A••••••• G••••• L•• BD affiliated currentsince Jul 17, 2019 · Greenwood Village, Co
- L•• F•••••••• L•• BD affiliatedNov 5, 2018 to Jun 24, 2019 · Bakersfield, Ca
- A••••••• F•••••••• A•••••••• L•• BD affiliatedMay 7, 2018 to Nov 2, 2018 · Apple Valley, Ca
- V•••• F•••••••• A•••••••• I••• BD affiliatedSep 22, 2014 to Apr 30, 2018 · Woodland Hills, Ca
- L•• F•••••••• L•• to E•••••• A••••••• G••••• L••left Jun 24, 2019, registered Jul 17, 2019 (23 days) · Other
- A••••••• F•••••••• A•••••••• L•• to L•• F•••••••• L••left Nov 2, 2018, registered Nov 5, 2018 (3 days) · Affiliated broker-dealer or bank to independent RIA
- V•••• F•••••••• A•••••••• I••• to A••••••• F•••••••• A•••••••• L••left Apr 30, 2018, registered May 7, 2018 (7 days) · Affiliated broker-dealer or bank to another
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
- 12derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address