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.
A••••• A• W•••••
- J••• M••••• S••••••••• L•• wirehouse currentsince Sep 29, 2023 · Los Angeles, Ca
- H•• I••••••••• P•••••••• L•• independent RIAMar 2, 2022 to Aug 2, 2023 · Los Angeles, Ca
- E••••• J•••• national BDMay 28, 2019 to Oct 28, 2021 · St Louis, Mo
- H••••• M••• I••••••••• I••• no RAUMJan 20, 2017 to Aug 17, 2018 · Los Angeles, Ca
- A••••• A•• P••••••• S••••••• BD affiliatedOct 4, 2011 to Dec 9, 2015 · Pasadena, Ca
- V•••• F•••••••• A•••••••• I••• BD affiliatedMar 8, 2006 to Sep 8, 2011 · Woodland Hills, Ca
- V••• F•••••••• P•••••••• L•• formerApr 14, 2004 to Dec 13, 2005 · El Segundo, Ca
- H•• I••••••••• P•••••••• L•• to J••• M••••• S••••••••• L••left Aug 2, 2023, registered Sep 29, 2023 (58 days) · Other
- E••••• J•••• to H•• I••••••••• P•••••••• L••left Oct 28, 2021, registered Mar 2, 2022 (125 days) · Other
- H••••• M••• I••••••••• I••• to E••••• J••••left Aug 17, 2018, registered May 28, 2019 (284 days) · Other
- A••••• A•• P••••••• S••••••• to H••••• M••• I••••••••• I•••left Dec 9, 2015, registered Jan 20, 2017 (408 days) · Other
- V•••• F•••••••• A•••••••• I••• to A••••• A•• P••••••• S•••••••left Sep 8, 2011, registered Oct 4, 2011 (26 days) · Other
- V••• F•••••••• P•••••••• L•• to V•••• F•••••••• A•••••••• I•••left Dec 13, 2005, registered Mar 8, 2006 (85 days) · Other
- A••••• A• W••••• left H•• I••••••••• P•••••••• L•• for J••• M••••• S••••••••• L•• (registered 2023-09-29)Aug 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
- 37derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address