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.
D•••• P•••••• H•••••••••
- H•••••••• F•••••••• G•••• independent RIA currentsince Feb 28, 2022 · Thousand Oaks, Ca
- T••••••• A•••••• N••••••• L•• BD affiliatedMay 13, 2020 to Mar 3, 2022 · Minneapolis, Mn
- T••••••• I••••••••• M••••••••• I••• BD affiliatedFeb 22, 2012 to Jun 3, 2020 · Thousand Oaks, Ca
- T••••••• A•••••• N••••••• L•• to H•••••••• F•••••••• G••••left Mar 3, 2022, registered Feb 28, 2022 (-3 days) · Affiliated broker-dealer or bank to a newly registered adviser · moved with a team
- T••••••• I••••••••• M••••••••• I••• to T••••••• A•••••• N••••••• L••left Jun 3, 2020, registered May 13, 2020 (-21 days) · Affiliated broker-dealer or bank to independent RIA · moved with a team
- D•••• P•••••• H••••••••• left T••••••• A•••••• N••••••• L•• for H•••••••• F•••••••• G•••• (registered 2022-02-28)Mar 3, 2022 · a•••••• firm change · 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
- Independent wealth managerderived
- Years in industry
- 14derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address