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.
J••••• J••• V•••••••••
- J••• M••••• S••••••••• L•• wirehouse currentsince Nov 4, 2021 · Los Angeles, Ca
- R•• C•••••• M••••••• L•• national BDMay 6, 2010 to Nov 16, 2021 · Beverly Hills, Ca
- M••••• S•••••• wirehouseJun 1, 2009 to May 19, 2010 · Los Angeles, Ca
- C•••••••• G••••• M•••••• I••• BD affiliatedFeb 1, 2005 to Jun 1, 2009 · Los Angeles, Ca
- C••••• S••••• S••••••••• •••• L•• formerJan 17, 2003 to Feb 2, 2005 · Los Angeles , Ca
- P••••••• L•• unclassifiedAug 8, 2002 to Jan 17, 2003 · Los Angeles, Ca
- R•• C•••••• M••••••• L•• to J••• M••••• S••••••••• L••left Nov 16, 2021, registered Nov 4, 2021 (-12 days) · Affiliated broker-dealer or bank to wirehouse · moved with a team
- M••••• S•••••• to R•• C•••••• M••••••• L••left May 19, 2010, registered May 6, 2010 (-13 days) · Wirehouse to affiliated broker-dealer or bank
- C•••••••• G••••• M•••••• I••• to M••••• S••••••left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
- C••••• S••••• S••••••••• •••• L•• to C•••••••• G••••• M•••••• I•••left Feb 2, 2005, registered Feb 1, 2005 (-1 days) · Other
- P••••••• L•• to C••••• S••••• S••••••••• •••• L••left Jan 17, 2003, registered Jan 17, 2003 (0 days) · corporate re-registration, 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
- Wirehousederived
- Years in industry
- 28derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address