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••••• M•••• S•••••••
- C••••• I••••••••• A••••••• L•• BD affiliated currentsince Jun 29, 2023 · Los Angeles, Ca
- O••••••••• • C•• I••• BD affiliatedApr 18, 2018 to Jun 14, 2019 · Los Angeles, Ca
- R•• C•••••• M••••••• L•• national BDOct 6, 2016 to Apr 17, 2018 · Beverly Hills, Ca
- J••• M••••• S••••••••• L•• wirehouseDec 4, 2014 to Jun 30, 2016 · Los Angeles, Ca
- U•• F•••••••• S••••••• I••• wirehouseSep 8, 2006 to Aug 20, 2014 · Woodland Hills, Ca
- U•• F•••••••• S••••••• I••• wirehouseFeb 4, 2004 to Aug 25, 2006 · Century City, Ca
- O••••••••• • C•• I••• to C••••• I••••••••• A••••••• L••left Jun 14, 2019, registered Jun 29, 2023 (1476 days) · Affiliated broker-dealer or bank to another · moved with a team
- R•• C•••••• M••••••• L•• to O••••••••• • C•• I•••left Apr 17, 2018, registered Apr 18, 2018 (1 days) · Affiliated broker-dealer or bank to another
- J••• M••••• S••••••••• L•• to R•• C•••••• M••••••• L••left Jun 30, 2016, registered Oct 6, 2016 (98 days) · Wirehouse to affiliated broker-dealer or bank
- U•• F•••••••• S••••••• I••• to J••• M••••• S••••••••• L••left Aug 20, 2014, registered Dec 4, 2014 (106 days) · Wirehouse to wirehouse
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
- 22derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address