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••••• L••••
- J••• W••••• L•• state registered currentsince May 4, 2023 · Pittsfield, Ma
- S•••••• F•••••••• L•• independent RIAMay 19, 2021 to Feb 16, 2024 · Greensboro, Nc
- A•••••• S••••• C•••••• asset managerFeb 7, 2020 to Jul 30, 2021 · Berkeley, Ca
- J••• W••••• unclassifiedJul 11, 2017 to Jun 18, 2021 · San Francisco, Ca
- S•••••• F•••••••• L•• to J••• W••••• L••left Feb 16, 2024, registered May 4, 2023 (-288 days) · RIA to a state-registered adviser
- A•••••• S••••• C•••••• to S•••••• F•••••••• L••left Jul 30, 2021, registered May 19, 2021 (-72 days) · RIA to RIA
- J••• W••••• to A•••••• S••••• C••••••left Jun 18, 2021, registered Feb 7, 2020 (-497 days) · Other
- Phuong Luong left Saltbox Financial Llc for Just Wealth Llc (registered 2023-05-04)Feb 16, 2024 · 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
- STATE REGISTEREDderived
- Years in industry
- 10derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address