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••••• D••••• A•••••••
- L•• F•••••••• L•• BD affiliated currentsince Dec 16, 2024 · Anaheim, Ca
- D••• D••••••• • C•• independent RIAOct 11, 2018 to Dec 17, 2024 · Los Angeles, Ca
- R•••••• J•••• • A••••••••• I••• national BDJan 9, 2017 to Oct 16, 2018 · San Diego, Ca
- D••• D••••••• • C•• to L•• F•••••••• L••left Dec 17, 2024, registered Dec 16, 2024 (-1 days) · RIA to affiliated broker-dealer or bank · moved with a team
- R•••••• J•••• • A••••••••• I••• to D••• D••••••• • C••left Oct 16, 2018, registered Oct 11, 2018 (-5 days) · Affiliated broker-dealer or bank to independent RIA
- J••••• D••••• A••••••• left D••• D••••••• • C•• for L•• F•••••••• L•• (registered 2024-12-16)Dec 17, 2024 · 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
- 13derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address