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.
J•• L••••
- J••• M••••• S••••••••• L•• wirehouse currentsince Apr 21, 2022 · Palo Alto, Ca
- B••••••• I••••••••• S•••••••• I••• ••••• formerNov 2, 2018 to Apr 7, 2022 · Palo Alto, Ca
- H••• S••••••••• •••• I••• BD affiliatedApr 17, 2012 to Jun 6, 2017 · Palo Alto, Ca
- E•••••• C•••••• M••••••••• L•• formerAug 4, 2011 to Apr 17, 2012 · Arlington, Va
- C•••••• S••••• • C••• I••• national BDMay 16, 2003 to Jun 20, 2011 · Menlo Park, Ca
- M••••• S•••••• D• I••• unclassifiedJul 26, 2000 to Nov 22, 2002 · San Francisco, Ca
- B••••••• I••••••••• S•••••••• I••• ••••• to J••• M••••• S••••••••• L••left Apr 7, 2022, registered Apr 21, 2022 (14 days) · Affiliated broker-dealer or bank to wirehouse
- H••• S••••••••• •••• I••• to B••••••• I••••••••• S•••••••• I••• •••••left Jun 6, 2017, registered Nov 2, 2018 (514 days) · Other
- E•••••• C•••••• M••••••••• L•• to H••• S••••••••• •••• I•••left Apr 17, 2012, registered Apr 17, 2012 (0 days) · Other
- C•••••• S••••• • C••• I••• to E•••••• C•••••• M••••••••• L••left Jun 20, 2011, registered Aug 4, 2011 (45 days) · Other
- M••••• S•••••• D• I••• to C•••••• S••••• • C••• I•••left Nov 22, 2002, registered May 16, 2003 (175 days) · Other
- J•• L•••• left B••••••• I••••••••• S•••••••• I••• ••••• for J••• M••••• S••••••••• L•• (registered 2022-04-21)Apr 7, 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
- Wirehousederived
- Years in industry
- 26derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address