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•••••• B•••• F••••••••
- L•• F•••••••• L•• BD affiliated currentsince Mar 6, 2025 · West Hills, Ca
- I• A••••••• S•••••••• I••• formerMay 18, 2018 to Mar 6, 2025 · West Hills, Ca
- Q•••••• A•••• M••••••••• I••• formerSep 6, 2016 to May 21, 2018 · Woodland Hills, Ca
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseOct 23, 2009 to Sep 6, 2016 · Sherman Oaks, Ca
- B••• O• A•••••• I••••••••• S•••••••• I••• unclassifiedDec 15, 2008 to Oct 23, 2009 · Sherman Oaks, Ca
- C•••••••• G••••• M•••••• I••• BD affiliatedMay 29, 2007 to Dec 20, 2008 · Los Angeles, Ca
- C••••••• I••••••••• S••••••• unclassifiedFeb 17, 2004 to May 29, 2007 · Los Angeles, Ca
- I• A••••••• S•••••••• I••• to L•• F•••••••• L••left Mar 6, 2025, registered Mar 6, 2025 (0 days) · corporate re-registration, not a move
- Q•••••• A•••• M••••••••• I••• to I• A••••••• S•••••••• I•••left May 21, 2018, registered May 18, 2018 (-3 days) · Affiliated broker-dealer or bank to another
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to Q•••••• A•••• M••••••••• I•••left Sep 6, 2016, registered Sep 6, 2016 (0 days) · Other
- B••• O• A•••••• I••••••••• S•••••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Oct 23, 2009, registered Oct 23, 2009 (0 days) · corporate re-registration, not a move
- C•••••••• G••••• M•••••• I••• to B••• O• A•••••• I••••••••• S•••••••• I•••left Dec 20, 2008, registered Dec 15, 2008 (-5 days) · Other
- C••••••• I••••••••• S••••••• to C•••••••• G••••• M•••••• I•••left May 29, 2007, registered May 29, 2007 (0 days) · corporate re-registration, not a move
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
- 35derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address