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.
A••• L•••••
- M••••••••• W••••• A•••••••• L•• asset manager currentsince Jun 29, 2023 · Scottsdale, Az
- M••••• S•••••• wirehouseMar 22, 2016 to Nov 22, 2022 · El Segundo, Ca
- R•• C•••••• M••••••• L•• national BDMar 27, 2009 to Apr 14, 2016 · Beverly Hills, Ca
- W•••• F•••• A••••••• wirehouseJul 1, 2003 to Mar 27, 2009 · Rolling Hills Estates, Ca
- P••••••••• E••••• G••••• L•• unclassifiedJun 13, 2003 to Jul 1, 2003 · Rolling Hills Estates, Ca
- C•••••••• G••••• M•••••• I••• BD affiliatedMar 6, 2000 to Jun 26, 2003 · Rolling Hills, Ca
- M••••• S•••••• to M••••••••• W••••• A•••••••• L••left Nov 22, 2022, registered Jun 29, 2023 (219 days) · Wirehouse to independent RIA
- R•• C•••••• M••••••• L•• to M••••• S••••••left Apr 14, 2016, registered Mar 22, 2016 (-23 days) · Affiliated broker-dealer or bank to wirehouse · moved with a team
- W•••• F•••• A••••••• to R•• C•••••• M••••••• L••left Mar 27, 2009, registered Mar 27, 2009 (0 days) · Wirehouse to affiliated broker-dealer or bank
- P••••••••• E••••• G••••• L•• to W•••• F•••• A•••••••left Jul 1, 2003, registered Jul 1, 2003 (0 days) · corporate re-registration, not a move
- C•••••••• G••••• M•••••• I••• to P••••••••• E••••• G••••• L••left Jun 26, 2003, registered Jun 13, 2003 (-13 days) · Other
- A••• L••••• left M••••• S•••••• for M••••••••• W••••• A•••••••• L•• (registered 2023-06-29)Nov 22, 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
- Asset manager (funds and pooled vehicles)derived
- Years in industry
- 31derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address