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••••• W•••••• P••••••
- S•••••• N••••••• • C••••••• I••••••••• national BD currentsince Apr 5, 2025 · Los Angeles, Ca
- B• R•••• W••••• A•••••••• I••• BD affiliatedJul 26, 2022 to Apr 8, 2025 · Los Angeles, Ca
- B• R•••• W••••• M••••••••• formerJan 26, 2018 to Dec 31, 2022 · Los Angeles, Ca
- O••••••••• • C•• I••• BD affiliatedNov 15, 2007 to Jan 26, 2018 · Los Angeles, Ca
- U•• F•••••••• S••••••• I••• wirehouseApr 22, 2005 to Sep 10, 2007 · Westlake Village, Ca
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseJul 8, 1997 to Apr 27, 2005 · Los Angeles, Ca
- B• R•••• W••••• A•••••••• I••• to S•••••• N••••••• • C••••••• I•••••••••left Apr 8, 2025, registered Apr 5, 2025 (-3 days) · corporate re-registration, not a move
- B• R•••• W••••• M••••••••• to B• R•••• W••••• A•••••••• I•••left Dec 31, 2022, registered Jul 26, 2022 (-158 days) · corporate re-registration, not a move
- O••••••••• • C•• I••• to B• R•••• W••••• M•••••••••left Jan 26, 2018, registered Jan 26, 2018 (0 days) · Other · moved with a team
- U•• F•••••••• S••••••• I••• to O••••••••• • C•• I•••left Sep 10, 2007, registered Nov 15, 2007 (66 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to U•• F•••••••• S••••••• I•••left Apr 27, 2005, registered Apr 22, 2005 (-5 days) · Wirehouse to wirehouse
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