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.
R••• D• S••••
- S•••••••• A••••••• L•• national BD currentsince Mar 31, 2025 · Thousand Oaks, Ca
- F••••••• P••••••• A•• W•••••••• A••••••• formerDec 8, 2021 to Mar 31, 2025 · Thousand Oaks, Ca
- J••• M••••• S••••••••• L•• wirehouseMay 23, 2019 to Nov 2, 2021 · Westlake Village, Ca
- A•••••••• F••••• O•••••• L•• independent RIAAug 5, 2017 to Mar 2, 2018 · Marina Del Rey, Ca
- N••••• A•••• M••••••••• L•• mixed wealthSep 1, 2011 to Sep 9, 2015 · Chicago, Il
- N••••• F••• A•••••••• L•• asset managerOct 21, 2010 to Sep 1, 2011 · Chicago, Il
- C•••••••• G••••• M•••••• I••• BD affiliatedOct 25, 2006 to Sep 15, 2010 · Pacific Palisades, Ca
- K•• I••••••••• A••••••• L•• unclassifiedOct 12, 2004 to Nov 28, 2006 · Los Angeles, Ca
- F••••••• P••••••• A•• W•••••••• A••••••• to S•••••••• A••••••• L••left Mar 31, 2025, registered Mar 31, 2025 (0 days) · corporate re-registration, not a move
- J••• M••••• S••••••••• L•• to F••••••• P••••••• A•• W•••••••• A•••••••left Nov 2, 2021, registered Dec 8, 2021 (36 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
- A•••••••• F••••• O•••••• L•• to J••• M••••• S••••••••• L••left Mar 2, 2018, registered May 23, 2019 (447 days) · RIA to wirehouse
- N••••• A•••• M••••••••• L•• to A•••••••• F••••• O•••••• L••left Sep 9, 2015, registered Aug 5, 2017 (696 days) · Other
- N••••• F••• A•••••••• L•• to N••••• A•••• M••••••••• L••left Sep 1, 2011, registered Sep 1, 2011 (0 days) · corporate re-registration, not a move
- C•••••••• G••••• M•••••• I••• to N••••• F••• A•••••••• L••left Sep 15, 2010, registered Oct 21, 2010 (36 days) · Other
- K•• I••••••••• A••••••• L•• to C•••••••• G••••• M•••••• I•••left Nov 28, 2006, registered Oct 25, 2006 (-34 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
- National broker-dealer RIAderived
- Years in industry
- 23derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address