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.
D••••• R••••• L••••
- R•• C•••••• M••••••• L•• national BD currentsince Apr 4, 2022 · Century City, Ca
- W•••• F•••• A••••••• wirehouseJan 30, 2015 to Apr 11, 2022 · Beverly Hills, Ca
- O••••••••• • C•• I••• BD affiliatedJul 9, 2010 to Feb 5, 2015 · Los Angeles, Ca
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseOct 23, 2009 to Jul 19, 2010 · Santa Monica, Ca
- B••• O• A•••••• I••••••••• S•••••••• I••• unclassifiedOct 15, 2007 to Oct 23, 2009 · Beverly Hills, Ca
- U•• F•••••••• S••••••• I••• wirehouseFeb 2, 1999 to Oct 29, 2007 · Beverly Hills, Ca
- W•••• F•••• A••••••• to R•• C•••••• M••••••• L••left Apr 11, 2022, registered Apr 4, 2022 (-7 days) · Wirehouse to affiliated broker-dealer or bank
- O••••••••• • C•• I••• to W•••• F•••• A•••••••left Feb 5, 2015, registered Jan 30, 2015 (-6 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to O••••••••• • C•• I•••left Jul 19, 2010, registered Jul 9, 2010 (-10 days) · Other
- B••• O• A•••••• I••••••••• S•••••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Oct 23, 2009, registered Oct 23, 2009 (0 days) · corporate re-registration, not a move
- U•• F•••••••• S••••••• I••• to B••• O• A•••••• I••••••••• S•••••••• I•••left Oct 29, 2007, registered Oct 15, 2007 (-14 days) · Other
- D••••• R••••• L•••• left W•••• F•••• A••••••• for R•• C•••••• M••••••• L•• (registered 2022-04-04)Apr 11, 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
- 43derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address