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.
K••••• R••• M•••••••
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse currentsince Jan 18, 2024 · Beverly Hills, Ca
- R•• S••••••••• I••• BD affiliatedMar 6, 2015 to Mar 21, 2022 · Los Angeles, Ca
- S•• W••••• independent RIADec 4, 2014 to Mar 17, 2015 · Beverly Hills, Ca
- U••• B•••••• A•••••••• L•• BD affiliatedJan 13, 2009 to Nov 6, 2013 · Beverly Hills, Ca
- W•••• F•••• I••••••••• L•• unclassifiedJan 18, 2006 to Jan 20, 2009 · Beverly Hills, Ca
- R•• S••••••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Mar 21, 2022, registered Jan 18, 2024 (668 days) · RIA to wirehouse
- S•• W••••• to R•• S••••••••• I•••left Mar 17, 2015, registered Mar 6, 2015 (-11 days) · Other
- U••• B•••••• A•••••••• L•• to S•• W•••••left Nov 6, 2013, registered Dec 4, 2014 (393 days) · Other
- W•••• F•••• I••••••••• L•• to U••• B•••••• A•••••••• L••left Jan 20, 2009, registered Jan 13, 2009 (-7 days) · Other
- K••••• R••• M••••••• left R•• S••••••••• I••• for M•••••• L••••• P•••••• F••••• • S•••• I••••••••• (registered 2024-01-18)Mar 21, 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
- 29derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address