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.
D••••• R• D•••••••
- M••••••••• R••••••••• BD affiliated currentsince Aug 4, 2023 · Pasadena, Ca
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseDec 1, 2020 to Apr 21, 2022 · Pasadena, Ca
- A••••••••• F•••••••• S•••••••• L•• national BDMay 13, 2015 to May 16, 2016 · Torrance, Ca
- L•• F•••••••• L•• BD affiliatedMay 21, 2010 to Jun 5, 2015 · Los Angeles, Ca
- C••• F•••••••• S•••••••• L••• formerDec 23, 2008 to May 21, 2010 · San Diego, Ca
- L•• F•••••••• L•• BD affiliatedFeb 23, 2005 to Dec 26, 2008 · Pasadena, Ca
- A••••••••• F•••••••• S•••••••• L•• national BDDec 15, 1997 to Feb 22, 2005 · Glendale, Ca
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to M••••••••• R•••••••••left Apr 21, 2022, registered Aug 4, 2023 (470 days) · Other
- A••••••••• F•••••••• S•••••••• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left May 16, 2016, registered Dec 1, 2020 (1660 days) · Affiliated broker-dealer or bank to wirehouse
- L•• F•••••••• L•• to A••••••••• F•••••••• S•••••••• L••left Jun 5, 2015, registered May 13, 2015 (-23 days) · Other
- C••• F•••••••• S•••••••• L••• to L•• F•••••••• L••left May 21, 2010, registered May 21, 2010 (0 days) · Other
- L•• F•••••••• L•• to C••• F•••••••• S•••••••• L•••left Dec 26, 2008, registered Dec 23, 2008 (-3 days) · Other
- A••••••••• F•••••••• S•••••••• L•• to L•• F•••••••• L••left Feb 22, 2005, registered Feb 23, 2005 (1 days) · Other
- D••••• R• D••••••• left M•••••• L••••• P•••••• F••••• • S•••• I••••••••• for M••••••••• R••••••••• (registered 2023-08-04)Apr 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 29derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address