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•••• M•••••
- L•• F•••••••• L•• BD affiliated currentsince Jan 14, 2025 · Los Angeles, Ca
- J••• M••••• S••••••••• L•• wirehouseJul 21, 2017 to Nov 13, 2024 · Los Angeles, Ca
- S•••••• N••••••• • C••••••• I••••••••• national BDDec 4, 2015 to Jul 28, 2017 · St. Louis, Mo
- B••••••• C•••••• I••• formerJan 13, 2012 to Dec 4, 2015 · Los Angeles, Ca
- C••••• S••••• S••••••••• •••• L•• formerMay 25, 2005 to Feb 3, 2012 · Los Angeles, Ca
- O••••••••• A•••• M••••••••• BD affiliatedApr 15, 2003 to Jun 3, 2005 · New York, Ny
- O••••••••• • C•• I••• BD affiliatedJan 3, 2003 to Apr 15, 2003 · Los Angeles , Ca
- C••• W•••• M•••••• C•••• unclassifiedOct 15, 2002 to Jan 3, 2003 · Los Angeles, Ca
- D••••••• B••• S••••••••• I••• no RAUMMar 23, 2001 to Oct 30, 2002 · Los Angeles, Ca
- J••• M••••• S••••••••• L•• to L•• F•••••••• L••left Nov 13, 2024, registered Jan 14, 2025 (62 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
- S•••••• N••••••• • C••••••• I••••••••• to J••• M••••• S••••••••• L••left Jul 28, 2017, registered Jul 21, 2017 (-7 days) · Affiliated broker-dealer or bank to wirehouse · moved with a team
- B••••••• C•••••• I••• to S•••••• N••••••• • C••••••• I•••••••••left Dec 4, 2015, registered Dec 4, 2015 (0 days) · corporate re-registration, not a move
- C••••• S••••• S••••••••• •••• L•• to B••••••• C•••••• I•••left Feb 3, 2012, registered Jan 13, 2012 (-21 days) · Other
- O••••••••• A•••• M••••••••• to C••••• S••••• S••••••••• •••• L••left Jun 3, 2005, registered May 25, 2005 (-9 days) · Other
- O••••••••• • C•• I••• to O••••••••• A•••• M•••••••••left Apr 15, 2003, registered Apr 15, 2003 (0 days) · corporate re-registration, not a move
- C••• W•••• M•••••• C•••• to O••••••••• • C•• I•••left Jan 3, 2003, registered Jan 3, 2003 (0 days) · corporate re-registration, not a move
- D••••••• B••• S••••••••• I••• to C••• W•••• M•••••• C••••left Oct 30, 2002, registered Oct 15, 2002 (-15 days) · Other
- K•••• S•••• M••••• left J••• M••••• S••••••••• L•• for L•• F•••••••• L•• (registered 2025-01-14)Nov 13, 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 31derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address