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•••• M• L•••••
- R••••••••• C•••••• M••••••••• BD affiliated currentsince Mar 28, 2025 · Los Angeles, Ca
- R••••••••• C•••••• M••••••••• BD affiliated currentsince Mar 28, 2025 · Scottsdale, Az
- U•• F•••••••• S••••••• I••• wirehouseMay 25, 2012 to Apr 8, 2025 · Phoenix, Az
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseFeb 25, 2005 to May 29, 2012 · Phoenix, Az
- U•• F•••••••• S••••••• I••• to R••••••••• C•••••• M•••••••••left Apr 8, 2025, registered Mar 28, 2025 (-11 days) · Wirehouse to affiliated broker-dealer or bank
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to U•• F•••••••• S••••••• I•••left May 29, 2012, registered May 25, 2012 (-4 days) · Wirehouse to wirehouse
- J•••• M• L••••• left U•• F•••••••• S••••••• I••• for R••••••••• C•••••• M••••••••• (registered 2025-03-28)Apr 8, 2025 · 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 26derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address