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.
P•••••• K•••••••
- L•• F•••••••• L•• BD affiliated currentsince Sep 6, 2022 · San Diego, Ca
- U••• B•••••• I••••••••• I••• formerAug 10, 2016 to Mar 4, 2022 · El Cajon, Ca
- W•••• F•••• A••••••• wirehouseJan 3, 2011 to Aug 2, 2016 · San Diego, Ca
- W•••• F•••• I••••••••• L•• unclassifiedDec 25, 2008 to Jan 3, 2011 · El Cajon, Ca
- U••• B•••••• I••••••••• I••• to L•• F•••••••• L••left Mar 4, 2022, registered Sep 6, 2022 (186 days) · Affiliated broker-dealer or bank to independent RIA
- W•••• F•••• A••••••• to U••• B•••••• I••••••••• I•••left Aug 2, 2016, registered Aug 10, 2016 (8 days) · Other
- W•••• F•••• I••••••••• L•• to W•••• F•••• A•••••••left Jan 3, 2011, registered Jan 3, 2011 (0 days) · corporate re-registration, not a move
- P•••••• K••••••• left U••• B•••••• I••••••••• I••• for L•• F•••••••• L•• (registered 2022-09-06)Mar 4, 2022 · Advisor changed firm · fact
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
- 17derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address