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•••••• H••••• M••••••
- L•• F•••••••• L•• BD affiliated currentsince May 16, 2024 · Irvine, Ca
- W•••• F•••• A••••••• wirehouseAug 13, 2021 to May 1, 2024 · Irvine, Ca
- J••• M••••• S••••••••• L•• wirehouseMar 2, 2016 to Jul 7, 2021 · Corona Del Mar, Ca
- M•• I•••••••• S•••••••• L•• BD affiliatedOct 8, 2015 to Feb 4, 2016 · Newport Beach, Ca
- G•••••• P•••• A•••••••• L•• state registeredJun 3, 2015 to Aug 19, 2015 · Tustin, Ca
- V••• D•••••• S••••••••• L•• unclassifiedMay 11, 2015 to Jun 22, 2015 · Irvine, Ca
- V••• D•••••• S••••••••• L•• unclassifiedApr 10, 2013 to Apr 9, 2015 · Irvine, Ca
- W•••• F•••• A••••••• to L•• F•••••••• L••left May 1, 2024, registered May 16, 2024 (15 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
- J••• M••••• S••••••••• L•• to W•••• F•••• A•••••••left Jul 7, 2021, registered Aug 13, 2021 (37 days) · Wirehouse to wirehouse
- M•• I•••••••• S•••••••• L•• to J••• M••••• S••••••••• L••left Feb 4, 2016, registered Mar 2, 2016 (27 days) · Other
- G•••••• P•••• A•••••••• L•• to M•• I•••••••• S•••••••• L••left Aug 19, 2015, registered Oct 8, 2015 (50 days) · Other
- V••• D•••••• S••••••••• L•• to G•••••• P•••• A•••••••• L••left Jun 22, 2015, registered Jun 3, 2015 (-19 days) · Other · moved with a team
- M•••••• H••••• M•••••• left W•••• F•••• A••••••• for L•• F•••••••• L•• (registered 2024-05-16)May 1, 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
- 27derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address