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.
J••• R•••• O••••
- C•••••• S••••• • C••• I••• national BD currentsince Apr 8, 2022 · Brea, Ca
- G•• S••••••••• I••• BD affiliatedJul 14, 2021 to Mar 4, 2022 · Palm Beach Gardens, Fl
- E•••••••• A•••••••• L•• national BDDec 23, 2020 to Jul 15, 2021 · Los Angeles, Ca
- G•• S••••••••• I••• to C•••••• S••••• • C••• I•••left Mar 4, 2022, registered Apr 8, 2022 (35 days) · Affiliated broker-dealer or bank to another
- E•••••••• A•••••••• L•• to G•• S••••••••• I•••left Jul 15, 2021, registered Jul 14, 2021 (-1 days) · Affiliated broker-dealer or bank to another · moved with a team
- J••• R•••• O•••• left G•• S••••••••• I••• for C•••••• S••••• • C••• I••• (registered 2022-04-08)Mar 4, 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
- National broker-dealer RIAderived
- Years in industry
- 10derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address