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.
W•••• R••••• G•••••••
- R••••••••• C•••••• M••••••••• BD affiliated currentsince Feb 28, 2020 · Los Angeles, Ca
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseOct 23, 2009 to Mar 2, 2020 · Los Angeles, Ca
- B••• O• A•••••• I••••••••• S•••••••• I••• unclassifiedApr 16, 2008 to Oct 23, 2009 · Los Angeles, Ca
- L•• F•••••••• L•• BD affiliatedAug 15, 2007 to Mar 27, 2008 · Santa Monica, Ca
- T• A••••••••• I••••••••• M••••••••• L•• formerApr 25, 2006 to Dec 20, 2006 · Beverly Hills, Ca
- T• A••••••••• I••• formerJul 30, 2003 to Dec 20, 2006 · Beverly Hills, Ca
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to R••••••••• C•••••• M•••••••••left Mar 2, 2020, registered Feb 28, 2020 (-3 days) · Wirehouse to independent RIA · moved with a team
- B••• O• A•••••• I••••••••• S•••••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Oct 23, 2009, registered Oct 23, 2009 (0 days) · corporate re-registration, not a move
- L•• F•••••••• L•• to B••• O• A•••••• I••••••••• S•••••••• I•••left Mar 27, 2008, registered Apr 16, 2008 (20 days) · Other
- T• A••••••••• I••••••••• M••••••••• L•• to L•• F•••••••• L••left Dec 20, 2006, registered Aug 15, 2007 (238 days) · Other
- T• A••••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••left Dec 20, 2006, registered Apr 25, 2006 (-239 days) · channel change inside one enterprise, not a move
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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 31derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address