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.
M•••••• B•••••• M••••••
- L•••••••• F•••••••• D••••• state registered currentsince Mar 1, 2024 · Salt Lake City, Ut
- L•• F•••••••• L•• BD affiliatedJul 10, 2018 to Oct 4, 2022 · San Luis Obispo, Ca
- U••• B•••••• A•••••••• L•• BD affiliatedSep 30, 2013 to Jul 10, 2018 · Lompoc, Ca
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseJan 3, 2012 to Oct 1, 2013 · San Luis Obispo, Ca
- L•• F•••••••• L•• to L•••••••• F•••••••• D•••••left Oct 4, 2022, registered Mar 1, 2024 (514 days) · RIA to a state-registered adviser
- U••• B•••••• A•••••••• L•• to L•• F•••••••• L••left Jul 10, 2018, registered Jul 10, 2018 (0 days) · Affiliated broker-dealer or bank to independent RIA
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to U••• B•••••• A•••••••• L••left Oct 1, 2013, registered Sep 30, 2013 (-1 days) · Other
- M•••••• B•••••• M•••••• left L•• F•••••••• L•• for L•••••••• F•••••••• D••••• (registered 2024-03-01)Oct 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
- STATE REGISTEREDderived
- Years in industry
- 14derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address