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••••• F•••
- C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliated currentsince Jun 6, 2022 · San Diego, Ca
- L•• F•••••••• L•• BD affiliatedSep 1, 2020 to Jun 13, 2022 · San Diego, Ca
- L•••• C•••••• G•••• formerJul 10, 2019 to Oct 5, 2020 · San Diego, Ca
- S••••• A•••• M••••••••• U•• I••• mixed wealthDec 4, 2017 to Jul 9, 2019 · Darien, Ct
- L•• F•••••••• L•• to C•••••••• I••••••••• R••••••• A•••••••• I•••left Jun 13, 2022, registered Jun 6, 2022 (-7 days) · RIA to affiliated broker-dealer or bank
- L•••• C•••••• G•••• to L•• F•••••••• L••left Oct 5, 2020, registered Sep 1, 2020 (-34 days) · RIA to affiliated broker-dealer or bank · moved with a team
- S••••• A•••• M••••••••• U•• I••• to L•••• C•••••• G••••left Jul 9, 2019, registered Jul 10, 2019 (1 days) · RIA to RIA
- M••••• F••• left L•• F•••••••• L•• for C•••••••• I••••••••• R••••••• A•••••••• I••• (registered 2022-06-06)Jun 13, 2022 · 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 10derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address