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.
L•••• G••••• R•••
- W•••• F•••• A••••••• wirehouse currentsince Apr 12, 2024 · Beverly Hills, Ca
- M••••• S•••••• wirehouseSep 22, 2014 to Apr 16, 2024 · Los Angeles, Ca
- B••••••• C•••••• I••• formerJan 4, 2011 to Oct 2, 2014 · Los Angeles, Ca
- N••••••• T•••• S••••••••• I•• BD affiliatedMay 11, 2006 to Dec 31, 2009 · Los Angeles, Ca
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseJun 9, 2003 to Feb 22, 2006 · Beverly Hills, Ca
- U•• F•••••••• S••••••• I••• wirehouseJun 6, 2001 to Jun 27, 2003 · Beverly Hills, Ca
- M••••• S•••••• to W•••• F•••• A•••••••left Apr 16, 2024, registered Apr 12, 2024 (-4 days) · Wirehouse to wirehouse · moved with a team
- B••••••• C•••••• I••• to M••••• S••••••left Oct 2, 2014, registered Sep 22, 2014 (-10 days) · Other
- N••••••• T•••• S••••••••• I•• to B••••••• C•••••• I•••left Dec 31, 2009, registered Jan 4, 2011 (369 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to N••••••• T•••• S••••••••• I••left Feb 22, 2006, registered May 11, 2006 (78 days) · Wirehouse to a newly registered adviser (no RAUM reported yet)
- U•• F•••••••• S••••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Jun 27, 2003, registered Jun 9, 2003 (-18 days) · Wirehouse to wirehouse
- L•••• G••••• R••• left M••••• S•••••• for W•••• F•••• A••••••• (registered 2024-04-12)Apr 16, 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
- 25derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address