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••••••• L•• L•••••
- R•••••• J•••• • A••••••••• I••• national BD currentsince Oct 14, 2024 · San Antonio, Tx
- M••••• C•••••• A•••••••• L•• independent RIAJan 21, 2022 to Mar 28, 2022 · Bakersfield, Ca
- M••••• C•••••• A•••••••• L•• independent RIAFeb 17, 2015 to Dec 31, 2021 · Raleigh, Nc
- M••••• S•••••• wirehouseJun 1, 2009 to Jun 11, 2010 · Bakersfield, Ca
- M••••• S•••••• • C•• L•• unclassifiedAug 31, 2007 to Jun 1, 2009 · Bakersfield, Ca
- C•••••••• G••••• M•••••• I••• BD affiliatedJan 31, 2006 to Sep 10, 2007 · Bakersfield, Ca
- M••••• C•••••• A•••••••• L•• to R•••••• J•••• • A••••••••• I•••left Mar 28, 2022, registered Oct 14, 2024 (931 days) · RIA to affiliated broker-dealer or bank
- M••••• S•••••• to M••••• C•••••• A•••••••• L••left Jun 11, 2010, registered Feb 17, 2015 (1712 days) · Other
- M••••• S•••••• • C•• L•• to M••••• S••••••left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
- C•••••••• G••••• M•••••• I••• to M••••• S•••••• • C•• L••left Sep 10, 2007, registered Aug 31, 2007 (-10 days) · Other
- M••••••• L•• L••••• left M••••• C•••••• A•••••••• L•• for R•••••• J•••• • A••••••••• I••• (registered 2024-10-14)Mar 28, 2022 · 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
- 24derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address