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.
B••••••••• J• G•••••••••
- R•• C•••••• M••••••• L•• national BD currentsince Apr 26, 2022 · Los Angeles, Ca
- M••••• S•••••• wirehouseMar 24, 2022 to May 13, 2022 · Beverly Hills, Ca
- R•• C•••••• M••••••• L•• national BDJan 26, 2006 to Feb 18, 2022 · Century City, Ca
- W•••• F•••• A••••••• wirehouseNov 9, 2005 to Jan 24, 2006 · Sherman Oaks, Ca
- D••••••• B••• S••••••••• I••• no RAUMJun 18, 2001 to Nov 21, 2005 · Los Angeles, Ca
- M••••• S•••••• to R•• C•••••• M••••••• L••left May 13, 2022, registered Apr 26, 2022 (-17 days) · Wirehouse to affiliated broker-dealer or bank
- R•• C•••••• M••••••• L•• to M••••• S••••••left Feb 18, 2022, registered Mar 24, 2022 (34 days) · Affiliated broker-dealer or bank to wirehouse
- W•••• F•••• A••••••• to R•• C•••••• M••••••• L••left Jan 24, 2006, registered Jan 26, 2006 (2 days) · Wirehouse to affiliated broker-dealer or bank
- D••••••• B••• S••••••••• I••• to W•••• F•••• A•••••••left Nov 21, 2005, registered Nov 9, 2005 (-12 days) · Other
- B••••••••• J• G••••••••• left M••••• S•••••• for R•• C•••••• M••••••• L•• (registered 2022-04-26)May 13, 2022 · Advisor changed firm · fact
- B••••••••• J• G••••••••• left R•• C•••••• M••••••• L•• for M••••• S•••••• (registered 2022-03-24)Feb 18, 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
- 40derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address