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.
S•••• J•••• K•••
- W•••• F•••• A••••••• wirehouse currentsince Apr 21, 2025 · El Segundo, Ca
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseNov 8, 2018 to Apr 7, 2025 · Rolling Hills Estates, Ca
- U••• B•••••• A•••••••• L•• BD affiliatedNov 5, 2014 to Sep 19, 2018 · Los Angeles, Ca
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to W•••• F•••• A•••••••left Apr 7, 2025, registered Apr 21, 2025 (14 days) · Wirehouse to wirehouse · moved with a team
- U••• B•••••• A•••••••• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Sep 19, 2018, registered Nov 8, 2018 (50 days) · Affiliated broker-dealer or bank to wirehouse
- S•••• J•••• K••• left M•••••• L••••• P•••••• F••••• • S•••• I••••••••• for W•••• F•••• A••••••• (registered 2025-04-21)Apr 7, 2025 · 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
- 32derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address