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.
P• Y••• C•••
- I••••••••• F•••••••• G••••• L•• BD affiliated currentsince Jul 19, 2021 · Diamond Bar, Ca
- T••••••••• A•••••••• L•• i••••••••• wealthApr 25, 2018 to Jul 16, 2021 · Monrovia, Ca
- T••••••••• F•••••••• A•••••••• L•• BD affiliatedAug 9, 2017 to Apr 11, 2018 · Brea, Ca
- T••••••••• A•••••••• L•• to I••••••••• F•••••••• G••••• L••left Jul 16, 2021, registered Jul 19, 2021 (3 days) · RIA to affiliated broker-dealer or bank
- T••••••••• F•••••••• A•••••••• L•• to T••••••••• A•••••••• L••left Apr 11, 2018, registered Apr 25, 2018 (14 days) · Affiliated broker-dealer or bank to independent RIA
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
- 11derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address