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.
E••••• K••• B•••
- H•••••••• A•••••••• L•• BD affiliated currentsince Dec 10, 2024 · Chicago, Il
- B•• A•• I••••••••• A••••••• L•• formerAug 24, 2018 to Oct 14, 2021 · Los Angeles, Ca
- W•••• F•••• A••••••• wirehouseAug 9, 2017 to Jul 30, 2018 · Dayton, Nv
- J••• M••••• P•••••• W••••• A••••••• L•• formerOct 27, 2015 to Jul 18, 2017 · Santa Barbara, Ca
- W•••• F•••• A••••••• wirehouseJan 3, 2011 to Jun 19, 2014 · Incline Village, Nv
- W•••• F•••• I••••••••• L•• unclassifiedApr 4, 2008 to Jan 3, 2011 · Reno, Nv
- U•• F•••••••• S••••••• I••• wirehouseAug 22, 2007 to Apr 21, 2008 · Incline Village, Nv
- W•••• F•••• A••••••• wirehouseJan 29, 2004 to Oct 18, 2006 · Woodland Hills, Ca
- N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N•• formerMar 24, 2003 to Jan 6, 2004 · San Marino, Ca
- B•• A•• I••••••••• A••••••• L•• to H•••••••• A•••••••• L••left Oct 14, 2021, registered Dec 10, 2024 (1153 days) · RIA to affiliated broker-dealer or bank · moved with a team
- W•••• F•••• A••••••• to B•• A•• I••••••••• A••••••• L••left Jul 30, 2018, registered Aug 24, 2018 (25 days) · Wirehouse to independent RIA
- J••• M••••• P•••••• W••••• A••••••• L•• to W•••• F•••• A•••••••left Jul 18, 2017, registered Aug 9, 2017 (22 days) · Other
- W•••• F•••• A••••••• to J••• M••••• P•••••• W••••• A••••••• L••left Jun 19, 2014, registered Oct 27, 2015 (495 days) · Other
- W•••• F•••• I••••••••• L•• to W•••• F•••• A•••••••left Jan 3, 2011, registered Jan 3, 2011 (0 days) · corporate re-registration, not a move
- U•• F•••••••• S••••••• I••• to W•••• F•••• I••••••••• L••left Apr 21, 2008, registered Apr 4, 2008 (-17 days) · Other
- W•••• F•••• A••••••• to U•• F•••••••• S••••••• I•••left Oct 18, 2006, registered Aug 22, 2007 (308 days) · Wirehouse to wirehouse
- N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N•• to W•••• F•••• A•••••••left Jan 6, 2004, registered Jan 29, 2004 (23 days) · Other
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
- 28derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address