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•••••••
- E••••• J•••• national BD currentsince May 10, 2023 · Santee, Ca
- L•• F•••••••• L•• BD affiliatedSep 20, 2018 to May 10, 2023 · San Diego, Ca
- S•••••••• F••••••••• I••• formerJul 20, 2018 to Aug 7, 2018 · San Diego, Ca
- L•• F•••••••• L•• BD affiliatedMar 19, 2018 to Jun 25, 2018 · San Diego, Ca
- C••••••••• F•••••••• N•••••• national BDFeb 16, 2017 to Mar 12, 2018 · San Diego, Ca
- M•• I•••••••• S•••••••• L•• BD affiliatedMar 7, 2016 to Feb 21, 2017 · La Jolla, Ca
- L•• F•••••••• L•• BD affiliatedNov 13, 2015 to Feb 3, 2016 · San Diego, Ca
- L•• F•••••••• L•• to E••••• J••••left May 10, 2023, registered May 10, 2023 (0 days) · Affiliated broker-dealer or bank to another
- S•••••••• F••••••••• I••• to L•• F•••••••• L••left Aug 7, 2018, registered Sep 20, 2018 (44 days) · Affiliated broker-dealer or bank to independent RIA
- L•• F•••••••• L•• to S•••••••• F••••••••• I•••left Jun 25, 2018, registered Jul 20, 2018 (25 days) · RIA to affiliated broker-dealer or bank
- C••••••••• F•••••••• N•••••• to L•• F•••••••• L••left Mar 12, 2018, registered Mar 19, 2018 (7 days) · Affiliated broker-dealer or bank to independent RIA
- M•• I•••••••• S•••••••• L•• to C••••••••• F•••••••• N••••••left Feb 21, 2017, registered Feb 16, 2017 (-5 days) · Other
- L•• F•••••••• L•• to M•• I•••••••• S•••••••• L••left Feb 3, 2016, registered Mar 7, 2016 (33 days) · Other
- M•••••• B••••••• left L•• F•••••••• L•• for E••••• J•••• (registered 2023-05-10)May 10, 2023 · 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
- National broker-dealer RIAderived
- Years in industry
- 13derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address