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••••• X•• L••••
- L•• F•••••••• L•• BD affiliated currentsince Apr 21, 2024 · San Diego, Ca
- I••••••••• F•••••••• G••••• L•• BD affiliatedSep 26, 2019 to Dec 10, 2019 · El Segundo, Ca
- T••••••• F•••••••• formerMar 27, 2019 to Mar 6, 2020 · El Segundo, Ca
- C• W••••• M••••••••• L•• i••••••••• wealthOct 18, 2018 to Feb 13, 2019 · San Marino, Ca
- T••••••• F•••••••• to I••••••••• F•••••••• G••••• L••left Mar 6, 2020, registered Sep 26, 2019 (-162 days) · RIA to RIA · moved with a team
- I••••••••• F•••••••• G••••• L•• to L•• F•••••••• L••left Dec 10, 2019, registered Apr 21, 2024 (1594 days) · RIA to affiliated broker-dealer or bank
- C• W••••• M••••••••• L•• to T••••••• F••••••••left Feb 13, 2019, registered Mar 27, 2019 (42 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