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.
A•••• M•••••• Z••
- F•••• C••••••• I••••••• S•••••••• I••• BD affiliated currentsince Oct 5, 2023 · Pasadena, Ca
- K••••• A••••••• S•••••••• L•• BD affiliatedMar 3, 2021 to May 31, 2023 · San Jose, Ca
- D••• D••••••• • C•• independent RIADec 15, 2020 to Feb 10, 2021 · Los Angeles, Ca
- W•••• F•••• A••••••• wirehouseJan 3, 2011 to Nov 12, 2012 · Pasadena, Ca
- W•••• F•••• I••••••••• L•• unclassifiedFeb 22, 2007 to Jan 3, 2011 · Pasadena, Ca
- W•••• F•••• I••••••••• L•• unclassifiedAug 31, 2001 to May 4, 2005 · Los Angeles, Ca
- K••••• A••••••• S•••••••• L•• to F•••• C••••••• I••••••• S•••••••• I•••left May 31, 2023, registered Oct 5, 2023 (127 days) · Affiliated broker-dealer or bank to another
- D••• D••••••• • C•• to K••••• A••••••• S•••••••• L••left Feb 10, 2021, registered Mar 3, 2021 (21 days) · RIA to affiliated broker-dealer or bank
- W•••• F•••• A••••••• to D••• D••••••• • C••left Nov 12, 2012, registered Dec 15, 2020 (2955 days) · Wirehouse to independent RIA
- W•••• F•••• I••••••••• L•• to W•••• F•••• A•••••••left Jan 3, 2011, registered Jan 3, 2011 (0 days) · corporate re-registration, not a move
- A•••• M•••••• Z•• left K••••• A••••••• S•••••••• L•• for F•••• C••••••• I••••••• S•••••••• I••• (registered 2023-10-05)May 31, 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 25derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address