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.
M•••••• J•••• W••••
- O•••• W•••••• I••• BD affiliated currentsince Sep 1, 2023 · Encino, Ca
- S•••••••• F••••••••• I••• formerJul 2, 2019 to Sep 1, 2023 · Calabasas, Ca
- A••••• A•• P••••••• S••••••• BD affiliatedNov 10, 2014 to May 31, 2019 · Sherman Oaks, Ca
- M•• I•••••••• S•••••••• L•• BD affiliatedFeb 14, 2012 to Oct 27, 2014 · Los Angeles, Ca
- N••••••••• M••••• I••••••••• S••••••••• no RAUMApr 12, 2007 to Jan 20, 2012 · Fairfax, Va
- S•••••••• F••••••••• I••• to O•••• W•••••• I•••left Sep 1, 2023, registered Sep 1, 2023 (0 days) · corporate re-registration, not a move
- A••••• A•• P••••••• S••••••• to S•••••••• F••••••••• I•••left May 31, 2019, registered Jul 2, 2019 (32 days) · Affiliated broker-dealer or bank to another
- M•• I•••••••• S•••••••• L•• to A••••• A•• P••••••• S•••••••left Oct 27, 2014, registered Nov 10, 2014 (14 days) · Other
- N••••••••• M••••• I••••••••• S••••••••• to M•• I•••••••• S•••••••• L••left Jan 20, 2012, registered Feb 14, 2012 (25 days) · Other
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
- 24derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address