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••••••• A••••••• L•• former currentsince Jan 1, 2025 · Brea, Ca
- L••••••• F•••••••• A•••••••• L•• state registeredNov 7, 2019 to Jun 19, 2020 · Scottsdale, Az
- T••••••••• F•••••••• A•••••••• L•• BD affiliatedSep 4, 2018 to Oct 8, 2019 · Irvine, Ca
- L••••••• F•••••••• A•••••••• L•• to E••••••• A••••••• L••left Jun 19, 2020, registered Jan 1, 2025 (1657 days) · Other
- T••••••••• F•••••••• A•••••••• L•• to L••••••• F•••••••• A•••••••• L••left Oct 8, 2019, registered Nov 7, 2019 (30 days) · Affiliated broker-dealer or bank to a state-registered adviser
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
- Former SEC-registered adviserderived
- Years in industry
- 16derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address