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.
V•••••• W••
- M••••• S•••••• wirehouse currentsince Mar 28, 2025 · Rolling Hills Estates, Ca
- R•• C•••••• M••••••• L•• national BDApr 4, 2011 to Apr 14, 2025 · Century City, Ca
- O••••••••• • C•• I••• BD affiliatedJul 14, 2004 to Apr 15, 2011 · Los Angeles, Ca
- C•••••••• G••••• M•••••• I••• BD affiliatedJul 8, 1997 to Jul 20, 2004 · Los Angeles, Ca
- R•• C•••••• M••••••• L•• to M••••• S••••••left Apr 14, 2025, registered Mar 28, 2025 (-17 days) · Affiliated broker-dealer or bank to wirehouse · moved with a team
- O••••••••• • C•• I••• to R•• C•••••• M••••••• L••left Apr 15, 2011, registered Apr 4, 2011 (-11 days) · Other
- C•••••••• G••••• M•••••• I••• to O••••••••• • C•• I•••left Jul 20, 2004, registered Jul 14, 2004 (-6 days) · Other
- V•••••• W•• left R•• C•••••• M••••••• L•• for M••••• S•••••• (registered 2025-03-28)Apr 14, 2025 · 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
- Wirehousederived
- Years in industry
- 44derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address