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••• L••••
- J••• M••••• S••••••••• L•• wirehouse currentsince Sep 5, 2024 · Los Angeles, Ca
- S•• W••••• independent RIAOct 5, 2022 to Apr 5, 2023 · Santa Monica, Ca
- S•• I••••••••• S••••••• I••• formerMar 11, 2020 to Jul 29, 2022 · San Francisco, Ca
- S••••• A••••••••• W••••• formerOct 6, 2017 to Feb 28, 2020 · San Francisco, Ca
- S•• W••••• to J••• M••••• S••••••••• L••left Apr 5, 2023, registered Sep 5, 2024 (519 days) · Affiliated broker-dealer or bank to wirehouse
- S•• I••••••••• S••••••• I••• to S•• W•••••left Jul 29, 2022, registered Oct 5, 2022 (68 days) · corporate re-registration, not a move
- S••••• A••••••••• W••••• to S•• I••••••••• S••••••• I•••left Feb 28, 2020, registered Mar 11, 2020 (12 days) · RIA to RIA
- S•••••• J••• L•••• left S•• W••••• for J••• M••••• S••••••••• L•• (registered 2024-09-05)Apr 5, 2023 · 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
- 21derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address