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.
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N••• A•••
- R•• C•••••• M••••••• L•• national BD currentsince Mar 10, 2023 · Beverly Hills, Ca
- W•••• F•••• A••••••• wirehouseMar 14, 2022 to Mar 9, 2023 · Beverly Hills, Ca
- G••••• K••••••• W••••• • I••••••••• M••••••••• independent RIAAug 31, 2021 to Mar 23, 2022 · Santa Monica, Ca
- J••• M••••• S••••••••• L•• wirehouseJun 17, 2016 to Sep 10, 2020 · San Pedro, Ca
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseMar 21, 2012 to Jun 23, 2016 · San Pedro, Ca
- W•••• F•••• A••••••• wirehouseAug 21, 2007 to Jan 12, 2009 · Bellevue, Wa
- W•••• F•••• A••••••• to R•• C•••••• M••••••• L••left Mar 9, 2023, registered Mar 10, 2023 (1 days) · Wirehouse to affiliated broker-dealer or bank
- G••••• K••••••• W••••• • I••••••••• M••••••••• to W•••• F•••• A•••••••left Mar 23, 2022, registered Mar 14, 2022 (-9 days) · RIA to wirehouse
- J••• M••••• S••••••••• L•• to G••••• K••••••• W••••• • I••••••••• M•••••••••left Sep 10, 2020, registered Aug 31, 2021 (355 days) · Wirehouse to independent RIA
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to J••• M••••• S••••••••• L••left Jun 23, 2016, registered Jun 17, 2016 (-6 days) · Wirehouse to wirehouse · moved with a team
- W•••• F•••• A••••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Jan 12, 2009, registered Mar 21, 2012 (1164 days) · Wirehouse to wirehouse
- N••• A••• left W•••• F•••• A••••••• for R•• C•••••• M••••••• L•• (registered 2023-03-10)Mar 9, 2023 · Advisor changed firm · fact
- N••• A••• left G••••• K••••••• W••••• • I••••••••• M••••••••• for W•••• F•••• A••••••• (registered 2022-03-14)Mar 23, 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
- National broker-dealer RIAderived
- Years in industry
- 29derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address