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••••• K•••••
- R•••••• J•••• • A••••••••• I••• national BD currentsince Mar 7, 2018 · Beverly Hills, Ca
- M••••• S•••••• wirehouseMar 25, 2014 to Feb 28, 2018 · Los Angeles, Ca
- L••••• F•••••••• G••••• L•• BD affiliatedJul 22, 2013 to Oct 7, 2013 · Saint Louis, Mo
- O••••••••• • C•• I••• BD affiliatedSep 25, 2007 to Aug 2, 2013 · Los Angeles, Ca
- M••••• S•••••• • C•• L•• unclassifiedApr 2, 2007 to Sep 24, 2007 · Santa Monica, Ca
- M••••• S•••••• D• I••• unclassifiedFeb 10, 2006 to Apr 2, 2007 · Santa Monica, Ca
- M••••• S•••••• to R•••••• J•••• • A••••••••• I•••left Feb 28, 2018, registered Mar 7, 2018 (7 days) · Wirehouse to affiliated broker-dealer or bank
- L••••• F•••••••• G••••• L•• to M••••• S••••••left Oct 7, 2013, registered Mar 25, 2014 (169 days) · Other
- O••••••••• • C•• I••• to L••••• F•••••••• G••••• L••left Aug 2, 2013, registered Jul 22, 2013 (-11 days) · Other
- M••••• S•••••• • C•• L•• to O••••••••• • C•• I•••left Sep 24, 2007, registered Sep 25, 2007 (1 days) · Other
- M••••• S•••••• D• I••• to M••••• S•••••• • C•• L••left Apr 2, 2007, registered Apr 2, 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
- National broker-dealer RIAderived
- Years in industry
- 32derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address