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•••• C•••••••• N••
- M•• C•••••• M••••••••• L•• independent RIA currentsince Feb 23, 2024 · S•••• Rosa, Ca
- T••••••• C••••••• P•••••• W••••• M••••••••• L•• formerApr 9, 2018 to Jan 30, 2024 · S•••• Rosa, Ca
- W•••• F•••• A••••••• wirehouseJul 18, 2017 to May 21, 2018 · S•••• Rosa, Ca
- J••• M••••• P•••••• W••••• A••••••• L•• formerJun 1, 2016 to May 31, 2017 · San Francisco, Ca
- B•••• formerFeb 21, 2014 to Jul 11, 2016 · San Francisco, Ca
- S•••• B•••••• A•••• M••••••••• L•• formerFeb 12, 2007 to Apr 8, 2013 · Los Angeles, Ca
- T••••••• C••••••• P•••••• W••••• M••••••••• L•• to M•• C•••••• M••••••••• L••left Jan 30, 2024, registered Feb 23, 2024 (24 days) · RIA to RIA · moved with a team
- W•••• F•••• A••••••• to T••••••• C••••••• P•••••• W••••• M••••••••• L••left May 21, 2018, registered Apr 9, 2018 (-42 days) · Wirehouse to a newly registered adviser (no RAUM reported yet) · moved with a team
- J••• M••••• P•••••• W••••• A••••••• L•• to W•••• F•••• A•••••••left May 31, 2017, registered Jul 18, 2017 (48 days) · Other
- B•••• to J••• M••••• P•••••• W••••• A••••••• L••left Jul 11, 2016, registered Jun 1, 2016 (-40 days) · Other
- S•••• B•••••• A•••• M••••••••• L•• to B••••left Apr 8, 2013, registered Feb 21, 2014 (319 days) · Other
- A•••• C•••••••• N•• left T••••••• C••••••• P•••••• W••••• M••••••••• L•• for M•• C•••••• M••••••••• L•• (registered 2024-02-23)Jan 30, 2024 · 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
- 19derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address