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.
W•••••• H••••• E•••••
- M••••• S•••••• wirehouse currentsince Feb 2, 2022 · Beverly Hills, Ca
- J••• M••••• S••••••••• L•• wirehouseOct 26, 2015 to Feb 3, 2022 · Los Angeles, Ca
- C••••• S••••• S••••••••• •••• L•• formerMay 17, 2005 to Nov 13, 2015 · Los Angeles, Ca
- N•••••••• B••••• B• L•• no RAUMJul 8, 1997 to May 26, 2005 · Los Angeles, Ca
- J••• M••••• S••••••••• L•• to M••••• S••••••left Feb 3, 2022, registered Feb 2, 2022 (-1 days) · Wirehouse to wirehouse
- C••••• S••••• S••••••••• •••• L•• to J••• M••••• S••••••••• L••left Nov 13, 2015, registered Oct 26, 2015 (-18 days) · Other · moved with a team
- N•••••••• B••••• B• L•• to C••••• S••••• S••••••••• •••• L••left May 26, 2005, registered May 17, 2005 (-9 days) · Other
- W•••••• H••••• E••••• left J••• M••••• S••••••••• L•• for M••••• S•••••• (registered 2022-02-02)Feb 3, 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
- 31derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address