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.
J•••••• M•••••• S•••••••
- R•• C•••••• M••••••• L•• national BD currentsince Oct 1, 2019 · Pasadena, Ca
- W•••• F•••• A••••••• wirehouseJul 3, 2015 to Oct 2, 2019 · Encino, Ca
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseFeb 25, 2011 to Aug 17, 2015 · Pasadena, Ca
- W•••• F•••• A••••••• wirehouseMar 10, 2008 to Jan 3, 2011 · Pasadena, Ca
- B••• O• A•••••• I••••••••• S•••••••• I••• unclassifiedNov 8, 2005 to Mar 6, 2008 · Westlake Village, Ca
- M••••• S•••••• D• I••• unclassifiedNov 2, 1998 to Aug 16, 2005 · Valencia, Ca
- W•••• F•••• A••••••• to R•• C•••••• M••••••• L••left Oct 2, 2019, registered Oct 1, 2019 (-1 days) · Wirehouse to affiliated broker-dealer or bank
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to W•••• F•••• A•••••••left Aug 17, 2015, registered Jul 3, 2015 (-45 days) · Wirehouse to wirehouse
- W•••• F•••• A••••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Jan 3, 2011, registered Feb 25, 2011 (53 days) · Wirehouse to wirehouse
- B••• O• A•••••• I••••••••• S•••••••• I••• to W•••• F•••• A•••••••left Mar 6, 2008, registered Mar 10, 2008 (4 days) · Other
- M••••• S•••••• D• I••• to B••• O• A•••••• I••••••••• S•••••••• I•••left Aug 16, 2005, registered Nov 8, 2005 (84 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
- National broker-dealer RIAderived
- Years in industry
- 34derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address