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.
C••• B••••
- U•• F•••••••• S••••••• I••• wirehouse currentsince Nov 25, 2024 · Beverly Hills, Ca
- J••• M••••• P•••••• W••••• A••••••• L•• formerJul 9, 2010 to May 24, 2023 · San Francisco, Ca
- J••• M••••• P•••••• W••••• A••••••• L•• formerApr 23, 2009 to Oct 1, 2009 · San Francisco, Ca
- F•••• R••••••• W••••• A•••••••• L•• unclassifiedApr 23, 2009 to Sep 30, 2010 · San Francisco, Ca
- A• G• E•••••• • S•••• I••• unclassifiedMar 24, 2003 to Aug 22, 2006 · Beverly Hills, Ca
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseJan 18, 2001 to Feb 5, 2003 · Beverly Hills, Ca
- J••• M••••• P•••••• W••••• A••••••• L•• to U•• F•••••••• S••••••• I•••left May 24, 2023, registered Nov 25, 2024 (551 days) · Affiliated broker-dealer or bank to wirehouse · moved with a team
- F•••• R••••••• W••••• A•••••••• L•• to J••• M••••• P•••••• W••••• A••••••• L••left Sep 30, 2010, registered Jul 9, 2010 (-83 days) · Other
- J••• M••••• P•••••• W••••• A••••••• L•• to F•••• R••••••• W••••• A•••••••• L••left Oct 1, 2009, registered Apr 23, 2009 (-161 days) · Other
- A• G• E•••••• • S•••• I••• to J••• M••••• P•••••• W••••• A••••••• L••left Aug 22, 2006, registered Apr 23, 2009 (975 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to A• G• E•••••• • S•••• I•••left Feb 5, 2003, registered Mar 24, 2003 (47 days) · Other
- C••• B•••• left J••• M••••• P•••••• W••••• A••••••• L•• for U•• F•••••••• S••••••• I••• (registered 2024-11-25)May 24, 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
- Wirehousederived
- Years in industry
- 25derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address