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.
T••••• A• W••••••
- L•• F•••••••• L•• BD affiliated currentsince Sep 17, 2020 · San Diego, Ca
- V•••••• G••••• I•••••••• asset managerMar 13, 2020 to Dec 21, 2020 · Irvine, Ca
- P•••••• C••••••• L•• formerJun 14, 2018 to Sep 30, 2020 · San Diego, Ca
- L•••• C•••••• G•••• formerMar 21, 2011 to Oct 5, 2020 · San Diego, Ca
- V•••••• G••••• I•••••••• to L•• F•••••••• L••left Dec 21, 2020, registered Sep 17, 2020 (-95 days) · Other
- L•••• C•••••• G•••• to P•••••• C••••••• L••left Oct 5, 2020, registered Jun 14, 2018 (-844 days) · Other · moved with a team
- P•••••• C••••••• L•• to V•••••• G••••• I••••••••left Sep 30, 2020, registered Mar 13, 2020 (-201 days) · Other · moved with a team
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
- 15derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address