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••••• G••••• H•••••
- L•• F•••••••• L•• BD affiliated currentsince Jan 15, 2025 · La Quinta, Ca
- L•••• F••• A••••••• S••••••• BD affiliatedJul 29, 2014 to Oct 5, 2015 · Anaheim, Ca
- B••• O• A•••••• I••••••••• S•••••••• I••• unclassifiedJan 30, 2004 to Oct 17, 2007 · Yorba Linda, Ca
- M••••• S•••••• D• I••• unclassifiedAug 24, 1998 to Feb 3, 2004 · Santa Ana, Ca
- L•••• F••• A••••••• S••••••• to L•• F•••••••• L••left Oct 5, 2015, registered Jan 15, 2025 (3390 days) · Other
- B••• O• A•••••• I••••••••• S•••••••• I••• to L•••• F••• A••••••• S•••••••left Oct 17, 2007, registered Jul 29, 2014 (2477 days) · Other
- M••••• S•••••• D• I••• to B••• O• A•••••• I••••••••• S•••••••• I•••left Feb 3, 2004, registered Jan 30, 2004 (-4 days) · Other
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
- 39derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address