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•••••• wirehouse currentsince Jan 18, 2023 · Medford, Or
- E•••••••• A•••••••• L•• national BDMar 18, 2022 to Jan 12, 2023 · M•••••Town, Wv
- W•••••• S••••••••• I••• BD affiliatedOct 26, 2020 to Jul 16, 2021 · Los Angeles, Ca
- W•••• F•••• A••••••• wirehouseNov 30, 2015 to Oct 27, 2020 · Los Angeles, Ca
- U•• F•••••••• S••••••• I••• wirehouseNov 24, 2008 to Dec 8, 2015 · Los Angeles, Ca
- M••••• S•••••• • C•• L•• unclassifiedSep 20, 2007 to Nov 25, 2008 · Los Angeles, Ca
- M••••• S•••••• • C•• L•• unclassifiedApr 2, 2007 to Jun 20, 2007 · Beachwood, Oh
- M••••• S•••••• D• I••• unclassifiedJul 9, 2003 to Apr 2, 2007 · Beachwood, Oh
- E•••••••• A•••••••• L•• to M••••• S••••••left Jan 12, 2023, registered Jan 18, 2023 (6 days) · Affiliated broker-dealer or bank to wirehouse
- W•••••• S••••••••• I••• to E•••••••• A•••••••• L••left Jul 16, 2021, registered Mar 18, 2022 (245 days) · Affiliated broker-dealer or bank to another
- W•••• F•••• A••••••• to W•••••• S••••••••• I•••left Oct 27, 2020, registered Oct 26, 2020 (-1 days) · Wirehouse to affiliated broker-dealer or bank
- U•• F•••••••• S••••••• I••• to W•••• F•••• A•••••••left Dec 8, 2015, registered Nov 30, 2015 (-8 days) · Wirehouse to wirehouse · moved with a team
- M••••• S•••••• • C•• L•• to U•• F•••••••• S••••••• I•••left Nov 25, 2008, registered Nov 24, 2008 (-1 days) · corporate re-registration, not a move
- M••••• S•••••• D• I••• to M••••• S•••••• • C•• L••left Apr 2, 2007, registered Apr 2, 2007 (0 days) · corporate re-registration, not a move
- J•••• W••••• L•••• left E•••••••• A•••••••• L•• for M••••• S•••••• (registered 2023-01-18)Jan 12, 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
- Wirehousederived
- Years in industry
- 26derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address