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.
C••••• N• L••••••
- M••••• S•••••• wirehouse currentsince Oct 12, 2023 · Los Angeles, Ca
- E•••••• C•••••• M••••••••• L•• formerSep 15, 2022 to Aug 14, 2023 · Los Angeles, Ca
- C•••••••• G••••• M•••••• I••• BD affiliatedJul 24, 2020 to Aug 30, 2022 · Los Angeles, Ca
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseOct 26, 2018 to Jul 13, 2020 · Beverly Hills, Ca
- W•••• F•••• A••••••• wirehouseJun 23, 2015 to Jan 25, 2017 · Beverly Hills, Ca
- W•••• F•••• I••••••••• L•• unclassifiedDec 9, 2003 to Dec 9, 2004 · Los Angeles, Ca
- E•••••• C•••••• M••••••••• L•• to M••••• S••••••left Aug 14, 2023, registered Oct 12, 2023 (59 days) · channel change inside one enterprise, not a move · moved with a team
- C•••••••• G••••• M•••••• I••• to E•••••• C•••••• M••••••••• L••left Aug 30, 2022, registered Sep 15, 2022 (16 days) · Affiliated broker-dealer or bank to independent RIA
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to C•••••••• G••••• M•••••• I•••left Jul 13, 2020, registered Jul 24, 2020 (11 days) · Wirehouse to affiliated broker-dealer or bank
- W•••• F•••• A••••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Jan 25, 2017, registered Oct 26, 2018 (639 days) · Wirehouse to wirehouse · moved with a team
- W•••• F•••• I••••••••• L•• to W•••• F•••• A•••••••left Dec 9, 2004, registered Jun 23, 2015 (3848 days) · Other
- C••••• N• L•••••• left C•••••••• G••••• M•••••• I••• for E•••••• C•••••• M••••••••• L•• (registered 2022-09-15)Aug 30, 2022 · 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
- Wirehousederived
- Years in industry
- 22derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address