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••••• N• C••••••
- I••••••••• W••••• C••••••• L•• independent RIA currentsince Feb 1, 2023 · Venice, Ca
- L••••• W••••• A•••••••• I••• formerJun 22, 2022 to Mar 31, 2023 · Venice, Ca
- I•••••• C••••••• L•• unclassifiedFeb 2, 2017 to Feb 21, 2025 · Marina Del Rey, Ca
- I•••••• C••••••• L•• unclassifiedMay 11, 2016 to Dec 31, 2016 · Marina Del Rey, Ca
- L••••• W••••• A•••••••• I••• formerMay 14, 2015 to Dec 31, 2020 · Solana Beach, Ca
- U•• F•••••••• S••••••• I••• wirehouseSep 19, 2008 to May 20, 2015 · Los Angeles, Ca
- L••••• B••••••• I••• unclassifiedMar 24, 2008 to Sep 24, 2008 · Los Angeles, Ca
- I•••••• C••••••• L•• to L••••• W••••• A•••••••• I•••left Feb 21, 2025, registered Jun 22, 2022 (-975 days) · Other
- L••••• W••••• A•••••••• I••• to I••••••••• W••••• C••••••• L••left Mar 31, 2023, registered Feb 1, 2023 (-58 days) · corporate re-registration, not a move
- L••••• W••••• A•••••••• I••• to I•••••• C••••••• L••left Dec 31, 2020, registered May 11, 2016 (-1695 days) · Other
- U•• F•••••••• S••••••• I••• to L••••• W••••• A•••••••• I•••left May 20, 2015, registered May 14, 2015 (-6 days) · Other
- L••••• B••••••• I••• to U•• F•••••••• S••••••• I•••left Sep 24, 2008, registered Sep 19, 2008 (-5 days) · Other
- J••••• N• C•••••• left I•••••• C••••••• L•• for L••••• W••••• A•••••••• I••• (registered 2022-06-22)Feb 21, 2025 · 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
- Independent wealth managerderived
- Years in industry
- 21derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address