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•••• M•••••
- G••••• W••••• M••••••••• I••• BD affiliated currentsince Dec 20, 2022 · San Gabriel, Ca
- S•••••••• F••••••••• I••• formerMar 2, 2012 to Dec 7, 2022 · Arcadia, Ca
- M••••• S•••••• wirehouseDec 14, 2009 to Mar 23, 2012 · Los Angeles, Ca
- D••••••• B••• S••••••••• I••• no RAUMMay 27, 2004 to Sep 26, 2005 · Los Angeles, Ca
- W•••• F•••• I••••••••• L•• unclassifiedOct 6, 2002 to Jun 8, 2004 · San Diego, Ca
- S•••••••• F••••••••• I••• to G••••• W••••• M••••••••• I•••left Dec 7, 2022, registered Dec 20, 2022 (13 days) · Affiliated broker-dealer or bank to another
- M••••• S•••••• to S•••••••• F••••••••• I•••left Mar 23, 2012, registered Mar 2, 2012 (-21 days) · Other
- D••••••• B••• S••••••••• I••• to M••••• S••••••left Sep 26, 2005, registered Dec 14, 2009 (1540 days) · Other
- W•••• F•••• I••••••••• L•• to D••••••• B••• S••••••••• I•••left Jun 8, 2004, registered May 27, 2004 (-12 days) · Other
- B•••• J•••• M••••• left S•••••••• F••••••••• I••• for G••••• W••••• M••••••••• I••• (registered 2022-12-20)Dec 7, 2022 · 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
- 23derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address