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.
M•••••• R•••••••• J••••••
- J•••••• W••••• M••••••••• L•• independent RIA currentsince Oct 22, 2019 · Manhattan Beach, Ca
- T•• I••••••••• A•••• M••••••••• L•• independent RIAFeb 16, 2019 to Oct 22, 2019 · Playa Del Rey, Ca
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliatedMar 10, 2017 to Feb 27, 2019 · Manhattan Beach, Ca
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseMay 2, 2008 to Feb 21, 2017 · El Segundo, Ca
- C•••••••• G••••• M•••••• I••• BD affiliatedJul 8, 1997 to May 22, 2008 · Los Angeles, Ca
- T•• I••••••••• A•••• M••••••••• L•• to J•••••• W••••• M••••••••• L••left Oct 22, 2019, registered Oct 22, 2019 (0 days) · RIA to a newly registered adviser
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• to T•• I••••••••• A•••• M••••••••• L••left Feb 27, 2019, registered Feb 16, 2019 (-11 days) · Affiliated broker-dealer or bank to independent RIA
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••left Feb 21, 2017, registered Mar 10, 2017 (17 days) · Other
- C•••••••• G••••• M•••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left May 22, 2008, registered May 2, 2008 (-20 days) · Other
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
- 40derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address