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.
E•••• G•••• D•••••••
- L•• F•••••••• L•• BD affiliated currentsince Jun 6, 2022 · San Diego, Ca
- C••••• A•••••• N••••••• L•• formerOct 21, 2019 to May 20, 2022 · San Diego, Ca
- F•••••••• A••••••• S•••••••• L•• formerJan 18, 2017 to Jun 20, 2019 · San Diego, Ca
- C••••• A•••••• N••••••• L•• to L•• F•••••••• L••left May 20, 2022, registered Jun 6, 2022 (17 days) · Affiliated broker-dealer or bank to independent RIA · moved with a team
- F•••••••• A••••••• S•••••••• L•• to C••••• A•••••• N••••••• L••left Jun 20, 2019, registered Oct 21, 2019 (123 days) · Affiliated broker-dealer or bank to another
- E•••• G•••• D••••••• left C••••• A•••••• N••••••• L•• for L•• F•••••••• L•• (registered 2022-06-06)May 20, 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 12derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address