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.
K••• S•••••
- S••••• A•••••••• L•• independent RIA currentsince Nov 15, 2024 · Costa Mesa, Ca
- M••••• S•••••• wirehouseFeb 15, 2013 to Nov 27, 2024 · El Segundo, Ca
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseMay 11, 2010 to Feb 19, 2013 · El Segundo, Ca
- N••••••••• I••• unclassifiedOct 11, 2001 to Jan 29, 2009 · Los Angeles, Ca
- M••••• S•••••• to S••••• A•••••••• L••left Nov 27, 2024, registered Nov 15, 2024 (-12 days) · Wirehouse to independent RIA
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to M••••• S••••••left Feb 19, 2013, registered Feb 15, 2013 (-4 days) · Wirehouse to wirehouse
- N••••••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Jan 29, 2009, registered May 11, 2010 (467 days) · Other
- K••• S••••• left M••••• S•••••• for S••••• A•••••••• L•• (registered 2024-11-15)Nov 27, 2024 · 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
- Independent wealth managerderived
- Years in industry
- 32derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address