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.
M•••••• S••••••
- J••• M••••• S••••••••• L•• wirehouse currentsince Apr 17, 2024 · Newport Beach, Ca
- J••• M••••• P•••••• W••••• A••••••• L•• formerDec 8, 2015 to Mar 20, 2025 · Newport Beach, Ca
- C••••• S••••• S••••••••• •••• L•• formerNov 22, 2013 to Dec 28, 2015 · San Diego, Ca
- J••• M••••• S••••••••• L•• wirehouseOct 1, 2008 to Apr 13, 2012 · Irvine, Ca
- J••• M••••• S••••••••• I••• unclassifiedMar 6, 2008 to Oct 1, 2008 · Chicago, Il
- J••• M••••• P•••••• W••••• A••••••• L•• to J••• M••••• S••••••••• L••left Mar 20, 2025, registered Apr 17, 2024 (-337 days) · corporate re-registration, not a move
- C••••• S••••• S••••••••• •••• L•• to J••• M••••• P•••••• W••••• A••••••• L••left Dec 28, 2015, registered Dec 8, 2015 (-20 days) · Other · moved with a team
- J••• M••••• S••••••••• L•• to C••••• S••••• S••••••••• •••• L••left Apr 13, 2012, registered Nov 22, 2013 (588 days) · Other
- J••• M••••• S••••••••• I••• to J••• M••••• S••••••••• L••left Oct 1, 2008, registered Oct 1, 2008 (0 days) · corporate re-registration, not a move
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
- 24derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address