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••••• S•••••• wirehouse currentsince Apr 5, 2023 · Miami, Fl
- J••• M••••• P•••••• W••••• A••••••• L•• formerSep 21, 2018 to May 2, 2023 · Los Angeles, Ca
- U•• F•••••••• S••••••• I••• wirehouseJan 16, 2009 to Oct 2, 2018 · Los Angeles, Ca
- C••••• S••••• S••••••••• •••• L•• formerNov 3, 2004 to Feb 10, 2009 · Los Angeles, Ca
- M••••• S•••••• D• I••• unclassifiedJun 18, 1999 to Nov 1, 2004 · Beverly Hls, Ca
- J••• M••••• P•••••• W••••• A••••••• L•• to M••••• S••••••left May 2, 2023, registered Apr 5, 2023 (-27 days) · Affiliated broker-dealer or bank to wirehouse · moved with a team
- U•• F•••••••• S••••••• I••• to J••• M••••• P•••••• W••••• A••••••• L••left Oct 2, 2018, registered Sep 21, 2018 (-11 days) · Wirehouse to independent RIA
- C••••• S••••• S••••••••• •••• L•• to U•• F•••••••• S••••••• I•••left Feb 10, 2009, registered Jan 16, 2009 (-25 days) · Other
- M••••• S•••••• D• I••• to C••••• S••••• S••••••••• •••• L••left Nov 1, 2004, registered Nov 3, 2004 (2 days) · Other
- S••••• H••••• L••••• left J••• M••••• P•••••• W••••• A••••••• L•• for M••••• S•••••• (registered 2023-04-05)May 2, 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
- Wirehousederived
- Years in industry
- 39derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address