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•••• P•••••
- R•••••• J•••• • A••••••••• I••• national BD currentsince Oct 9, 2023 · Newport Beach, Ca
- W•••• F•••• A••••••• wirehouseJul 11, 2011 to Oct 5, 2023 · Mission Viejo, Ca
- N•• C•••••• A•••• M••••••••• I••• formerJan 7, 2011 to Sep 22, 2011 · Beverly Hills, Ca
- M••••• S•••••• wirehouseJun 1, 2009 to Jan 12, 2011 · Irvine, Ca
- M••••• S•••••• • C•• L•• unclassifiedDec 12, 2008 to Jun 1, 2009 · Irvine, Ca
- W•••• F•••• A••••••• wirehouseNov 11, 2008 to Dec 18, 2008 · Mission Viejo, Ca
- W•••• F•••• A••••••• to R•••••• J•••• • A••••••••• I•••left Oct 5, 2023, registered Oct 9, 2023 (4 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
- N•• C•••••• A•••• M••••••••• I••• to W•••• F•••• A•••••••left Sep 22, 2011, registered Jul 11, 2011 (-73 days) · Other
- M••••• S•••••• to N•• C•••••• A•••• M••••••••• I•••left Jan 12, 2011, registered Jan 7, 2011 (-5 days) · Other
- M••••• S•••••• • C•• L•• to M••••• S••••••left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
- W•••• F•••• A••••••• to M••••• S•••••• • C•• L••left Dec 18, 2008, registered Dec 12, 2008 (-6 days) · Other
- M•••• P••••• left W•••• F•••• A••••••• for R•••••• J•••• • A••••••••• I••• (registered 2023-10-09)Oct 5, 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
- 18derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address