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.
B••••••• J••••• H•••••
- R••••••••• C•••••• M••••••••• BD affiliated currentsince Mar 11, 2021 · Los Angeles, Ca
- R••••••••• C•••••• M••••••••• BD affiliatedApr 22, 2024 to Nov 6, 2025 · Los Angeles, Ca
- M••••• S•••••• wirehouseSep 9, 2013 to Mar 30, 2021 · Los Angeles, Ca
- C••••• S••••• S••••••••• •••• L•• formerSep 22, 2008 to Oct 1, 2013 · Los Angeles, Ca
- L••••• B••••••• I••• unclassifiedFeb 17, 2004 to Sep 24, 2008 · Los Angeles, Ca
- N•••••••• B••••• B• L•• no RAUMAug 13, 2002 to Feb 17, 2004 · Los Angeles, Ca
- R••••••••• C•••••• M••••••••• to no registered destinationleft Nov 6, 2025 · Departure, no registered destination
- M••••• S•••••• to R••••••••• C•••••• M•••••••••left Mar 30, 2021, registered Mar 11, 2021 (-19 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
- C••••• S••••• S••••••••• •••• L•• to M••••• S••••••left Oct 1, 2013, registered Sep 9, 2013 (-22 days) · Other
- L••••• B••••••• I••• to C••••• S••••• S••••••••• •••• L••left Sep 24, 2008, registered Sep 22, 2008 (-2 days) · corporate re-registration, not a move
- N•••••••• B••••• B• L•• to L••••• B••••••• I•••left Feb 17, 2004, registered Feb 17, 2004 (0 days) · Other
- B••••••• J••••• H••••• no longer registered at R••••••••• C•••••• M•••••••••; no later IA registration on IAPDNov 6, 2025 · Advisor departure · 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
- 24derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address