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•••••• L•• S••••
- M••••• S•••••• wirehouse currentsince Mar 25, 2022 · Beverly Hills, Ca
- S•••••• N••••••• • C••••••• I••••••••• national BDOct 21, 2021 to Mar 28, 2022 · Los Angeles, Ca
- R•• C•••••• M••••••• L•• national BDApr 13, 2021 to Oct 19, 2021 · El Segundo, Ca
- S•••••• N••••••• • C••••••• I••••••••• national BDJun 25, 2013 to Apr 15, 2021 · Los Angeles, Ca
- W•••• F•••• A••••••• wirehouseFeb 20, 2008 to Jun 24, 2013 · Los Angeles, Ca
- A• G• E•••••• • S•••• I••• unclassifiedAug 15, 2005 to Dec 6, 2007 · Beverly Hills, Ca
- S•••••• N••••••• • C••••••• I••••••••• to M••••• S••••••left Mar 28, 2022, registered Mar 25, 2022 (-3 days) · Affiliated broker-dealer or bank to wirehouse · moved with a team
- R•• C•••••• M••••••• L•• to S•••••• N••••••• • C••••••• I•••••••••left Oct 19, 2021, registered Oct 21, 2021 (2 days) · Affiliated broker-dealer or bank to another
- S•••••• N••••••• • C••••••• I••••••••• to R•• C•••••• M••••••• L••left Apr 15, 2021, registered Apr 13, 2021 (-2 days) · Affiliated broker-dealer or bank to another
- W•••• F•••• A••••••• to S•••••• N••••••• • C••••••• I•••••••••left Jun 24, 2013, registered Jun 25, 2013 (1 days) · Wirehouse to affiliated broker-dealer or bank
- A• G• E•••••• • S•••• I••• to W•••• F•••• A•••••••left Dec 6, 2007, registered Feb 20, 2008 (76 days) · Other
- M•••••• L•• S•••• left S•••••• N••••••• • C••••••• I••••••••• for M••••• S•••••• (registered 2022-03-25)Mar 28, 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
- Wirehousederived
- Years in industry
- 27derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address