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• H•• C••
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse currentsince Jan 23, 2024 · Los Angeles, Ca
- R•• S••••••••• I••• BD affiliatedMar 14, 2017 to Jan 12, 2024 · Los Angeles, Ca
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseMar 21, 2007 to Mar 3, 2017 · Pasadena, Ca
- R•• S••••••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Jan 12, 2024, registered Jan 23, 2024 (11 days) · RIA to wirehouse
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to R•• S••••••••• I•••left Mar 3, 2017, registered Mar 14, 2017 (11 days) · Other
- J• H•• C•• left R•• S••••••••• I••• for M•••••• L••••• P•••••• F••••• • S•••• I••••••••• (registered 2024-01-23)Jan 12, 2024 · 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