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.
R•••• C•••••••
- S••••••• W••••• M••••••••• L•• independent RIA currentsince Jan 1, 2025 · Purchase, Ny
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseJan 7, 2008 to Jun 2, 2020 · Rolling Hills Estates, Ca
- C•••••••• G••••• M•••••• I••• BD affiliatedAug 17, 2004 to Nov 30, 2007 · Rolling Hills Estates, Ca
- A••••••••• F•••••••• S•••••••• L•• national BDJan 4, 2002 to Sep 11, 2003 · Long Beach, Ca
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to S••••••• W••••• M••••••••• L••left Jun 2, 2020, registered Jan 1, 2025 (1674 days) · Wirehouse to independent RIA
- C•••••••• G••••• M•••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Nov 30, 2007, registered Jan 7, 2008 (38 days) · Other
- A••••••••• F•••••••• S•••••••• L•• to C•••••••• G••••• M•••••• I•••left Sep 11, 2003, registered Aug 17, 2004 (341 days) · Other
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
- 26derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address