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.
A•••••••• V•• D• L•••
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse currentsince Jan 17, 2025 · New York, Ny
- M••••• S•••••• wirehouseJul 1, 2014 to Jan 31, 2025 · Los Angeles, Ca
- O••••••••• • C•• I••• BD affiliatedMay 18, 2009 to Jul 17, 2014 · Los Angeles, Ca
- U•• F•••••••• S••••••• I••• wirehouseJun 20, 2005 to May 13, 2009 · Beverly Hills, Ca
- M••••• S•••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Jan 31, 2025, registered Jan 17, 2025 (-14 days) · Wirehouse to wirehouse
- O••••••••• • C•• I••• to M••••• S••••••left Jul 17, 2014, registered Jul 1, 2014 (-16 days) · Other
- U•• F•••••••• S••••••• I••• to O••••••••• • C•• I•••left May 13, 2009, registered May 18, 2009 (5 days) · Other
- A•••••••• V•• D• L••• left M••••• S•••••• for M•••••• L••••• P•••••• F••••• • S•••• I••••••••• (registered 2025-01-17)Jan 31, 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
- Wirehousederived
- Years in industry
- 21derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address