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.
H••••••• C•• C••••
- I• F•••••••• A••••••• S••••••• L•• independent RIA currentsince Jun 21, 2024 · Charlotte, Nc
- W•••••• I••••••••• S••••••••• formerDec 2, 2017 to Jul 3, 2024 · Pasadena, Ca
- J••• M••••• S••••••••• L•• wirehouseMay 18, 2016 to Jun 29, 2017 · Irvine, Ca
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseOct 23, 2014 to Mar 7, 2016 · Newport Beach, Ca
- K•• W••• I••••••••• L•• unclassifiedMar 11, 2011 to Oct 23, 2014 · San Gabriel, Ca
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseAug 25, 2000 to May 17, 2004 · Singapore 039392, Ca
- W•••••• I••••••••• S••••••••• to I• F•••••••• A••••••• S••••••• L••left Jul 3, 2024, registered Jun 21, 2024 (-12 days) · Affiliated broker-dealer or bank to another
- J••• M••••• S••••••••• L•• to W•••••• I••••••••• S•••••••••left Jun 29, 2017, registered Dec 2, 2017 (156 days) · Other · moved with a team
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to J••• M••••• S••••••••• L••left Mar 7, 2016, registered May 18, 2016 (72 days) · Wirehouse to wirehouse · moved with a team
- K•• W••• I••••••••• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Oct 23, 2014, registered Oct 23, 2014 (0 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to K•• W••• I••••••••• L••left May 17, 2004, registered Mar 11, 2011 (2489 days) · Other
- H••••••• C•• C•••• left W•••••• I••••••••• S••••••••• for I• F•••••••• A••••••• S••••••• L•• (registered 2024-06-21)Jul 3, 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
- Independent wealth managerderived
- Years in industry
- 26derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address