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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D••• K••
- C•••••• S••••• • C••• I••• national BD currentsince May 23, 2023 · Torrance, Ca
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseJul 2, 2020 to May 16, 2023 · Los Angeles, Ca
- U••• B•••••• A•••••••• L•• BD affiliatedOct 12, 2017 to Jul 9, 2020 · Los Angeles, Ca
- L•• F•••••••• L•• BD affiliatedJul 6, 2012 to Oct 27, 2017 · Huntington Beach, Ca
- U••• B•••••• A•••••••• L•• BD affiliatedAug 22, 2005 to Jul 3, 2012 · South Gate, Ca
- C••••••• I••••••••• S••••••• unclassifiedDec 17, 2003 to Aug 2, 2005 · Cerritas, Ca
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to C•••••• S••••• • C••• I•••left May 16, 2023, registered May 23, 2023 (7 days) · Wirehouse to affiliated broker-dealer or bank
- U••• B•••••• A•••••••• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Jul 9, 2020, registered Jul 2, 2020 (-7 days) · Affiliated broker-dealer or bank to wirehouse
- L•• F•••••••• L•• to U••• B•••••• A•••••••• L••left Oct 27, 2017, registered Oct 12, 2017 (-15 days) · Other
- U••• B•••••• A•••••••• L•• to L•• F•••••••• L••left Jul 3, 2012, registered Jul 6, 2012 (3 days) · Other
- C••••••• I••••••••• S••••••• to U••• B•••••• A•••••••• L••left Aug 2, 2005, registered Aug 22, 2005 (20 days) · Other
- D••• K•• left M•••••• L••••• P•••••• F••••• • S•••• I••••••••• for C•••••• S••••• • C••• I••• (registered 2023-05-23)May 16, 2023 · 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
- 27derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address