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.
L••• A•• B•••••
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliated currentsince Nov 20, 2023 · Los Angeles, Ca
- R•• C•••••• M••••••• L•• national BDNov 25, 2013 to Dec 15, 2023 · Century City, Ca
- O••••••••• • C•• I••• BD affiliatedMar 5, 2010 to Dec 4, 2013 · Los Angeles, Ca
- N•••••••• B••••• B• L•• no RAUMSep 7, 2007 to Mar 9, 2010 · Los Angeles, Ca
- L•• F•••••••• L•• BD affiliatedSep 6, 2002 to Sep 24, 2007 · Kansas City, Mo
- U•• F•••••••• S••••••• I••• wirehouseOct 22, 1999 to Sep 11, 2002 · Kansas City, Mo
- R•• C•••••• M••••••• L•• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••left Dec 15, 2023, registered Nov 20, 2023 (-25 days) · Affiliated broker-dealer or bank to another
- O••••••••• • C•• I••• to R•• C•••••• M••••••• L••left Dec 4, 2013, registered Nov 25, 2013 (-9 days) · Other
- N•••••••• B••••• B• L•• to O••••••••• • C•• I•••left Mar 9, 2010, registered Mar 5, 2010 (-4 days) · Other
- L•• F•••••••• L•• to N•••••••• B••••• B• L••left Sep 24, 2007, registered Sep 7, 2007 (-17 days) · Other
- U•• F•••••••• S••••••• I••• to L•• F•••••••• L••left Sep 11, 2002, registered Sep 6, 2002 (-5 days) · Other
- L••• A•• B••••• left R•• C•••••• M••••••• L•• for R•••••• J•••• F•••••••• S••••••• A•••••••• I•• (registered 2023-11-20)Dec 15, 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 27derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address