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.
R••• J••••• P••••••••
- L•• F•••••••• L•• BD affiliated currentsince Aug 3, 2023 · San Diego, Ca
- S••••••• F•••••••• S•••••••• I••• formerDec 3, 2020 to Aug 4, 2023 · San Diego, Ca
- C•• S••••••••• L•• formerDec 3, 2020 to Oct 28, 2021 · San Diego, Ca
- S••••••• F•••••••• S•••••••• I••• to L•• F•••••••• L••left Aug 4, 2023, registered Aug 3, 2023 (-1 days) · RIA to affiliated broker-dealer or bank · moved with a team
- C•• S••••••••• L•• to S••••••• F•••••••• S•••••••• I•••left Oct 28, 2021, registered Dec 3, 2020 (-329 days) · corporate re-registration, not a move
- R••• J••••• P•••••••• left S••••••• F•••••••• S•••••••• I••• for L•• F•••••••• L•• (registered 2023-08-03)Aug 4, 2023 · 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
- 13derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address