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••••••• A•• R•••••••••
- K•••• A••••••• R•••••• I••••••••• M••••••••• L•• mixed wealth currentsince Mar 7, 2024 · Los Angeles, Ca
- R••••••••• C•••••• M••••••••• BD affiliatedJun 11, 2021 to Oct 17, 2023 · Los Angeles, Ca
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseMay 12, 2015 to Jun 14, 2021 · Brea, Ca
- C••••• S••••• S••••••••• •••• L•• formerJan 27, 2003 to Jun 15, 2005 · Los Angeles, Ca
- R••••••••• C•••••• M••••••••• to K•••• A••••••• R•••••• I••••••••• M••••••••• L••left Oct 17, 2023, registered Mar 7, 2024 (142 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to R••••••••• C•••••• M•••••••••left Jun 14, 2021, registered Jun 11, 2021 (-3 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
- C••••• S••••• S••••••••• •••• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Jun 15, 2005, registered May 12, 2015 (3618 days) · Other
- M••••••• A•• R••••••••• left R••••••••• C•••••• M••••••••• for K•••• A••••••• R•••••• I••••••••• M••••••••• L•• (registered 2024-03-07)Oct 17, 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
- Wealth manager with institutional or fund businessderived
- Years in industry
- 23derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address