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.
S•••••• J•••• P••••••••
- A••••••••• F•••••••• S•••••••• L•• national BD currentsince Sep 15, 2023 · Westlake Village, Ca
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliatedSep 21, 2015 to Sep 27, 2023 · Woodland Hills, Ca
- D••• D••••••• • C•• independent RIANov 25, 2013 to Sep 14, 2015 · Westlake Village, Ca
- C•••••• W••••• • C•• formerNov 4, 2013 to Nov 25, 2013 · Westlake Village, Ca
- C••••••• W••••• • C•• formerMay 12, 2009 to Nov 4, 2013 · Westlake Village, Ca
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseJul 27, 2004 to May 11, 2009 · Encino, Ca
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• to A••••••••• F•••••••• S•••••••• L••left Sep 27, 2023, registered Sep 15, 2023 (-12 days) · Affiliated broker-dealer or bank to another
- D••• D••••••• • C•• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••left Sep 14, 2015, registered Sep 21, 2015 (7 days) · Other · moved with a team
- C•••••• W••••• • C•• to D••• D••••••• • C••left Nov 25, 2013, registered Nov 25, 2013 (0 days) · corporate re-registration, not a move
- C••••••• W••••• • C•• to C•••••• W••••• • C••left Nov 4, 2013, registered Nov 4, 2013 (0 days) · corporate re-registration, not a move
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to C••••••• W••••• • C••left May 11, 2009, registered May 12, 2009 (1 days) · Other
- S•••••• J•••• P•••••••• left R•••••• J•••• F•••••••• S••••••• A•••••••• I•• for A••••••••• F•••••••• S•••••••• L•• (registered 2023-09-15)Sep 27, 2023 · 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
- 33derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address