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.
P•••••• K•••• M••••••••
- H•• I••••••••• P•••••••• L•• independent RIA currentsince Dec 19, 2024 · Pasadena, Ca
- G••••• R••••••••• P••••••• L•• institutional currentsince Jul 18, 2022 · Pasadena , Ca
- R•• C•••••• M••••••• L•• national BDJun 18, 2014 to Jul 27, 2022 · Pasadena, Ca
- M••••• S•••••• wirehouseJun 1, 2009 to Jul 7, 2014 · Sierra Madre, Ca
- C•••••••• G••••• M•••••• I••• BD affiliatedAug 12, 2005 to Jun 1, 2009 · Sierra Madre, Ca
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseJul 8, 1997 to Aug 18, 2005 · Los Angeles, Ca
- R•• C•••••• M••••••• L•• to G••••• R••••••••• P••••••• L••left Jul 27, 2022, registered Jul 18, 2022 (-9 days) · Other · moved with a team
- M••••• S•••••• to R•• C•••••• M••••••• L••left Jul 7, 2014, registered Jun 18, 2014 (-19 days) · Wirehouse to affiliated broker-dealer or bank
- C•••••••• G••••• M•••••• I••• to M••••• S••••••left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to C•••••••• G••••• M•••••• I•••left Aug 18, 2005, registered Aug 12, 2005 (-6 days) · Other
- P•••••• K•••• M•••••••• left R•• C•••••• M••••••• L•• for G••••• R••••••••• P••••••• L•• (registered 2022-07-18)Jul 27, 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
- Institutional managerderived
- Years in industry
- 32derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address