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.
J•••• M•• Y••
- T••• E••••••• A•••• M••••••••• state registered currentsince Jan 5, 2023 · Thousand Oaks, Ca
- G•• A•••• M••••••••• I••• unclassifiedJul 23, 2015 to Oct 24, 2023 · Thousand Oaks, Ca
- M• A•••• M••••••••• I••• formerJan 3, 2014 to Jun 2, 2015 · Pasadena, Ca
- M••••• S•••••• wirehouseJun 8, 2011 to Jan 16, 2014 · Los Angeles, Ca
- C••••• I••••••••• S••••••• L•• formerFeb 21, 2008 to Mar 21, 2011 · Los Angeles, Ca
- O•••• F•• I••• formerAug 3, 2007 to Feb 26, 2008 · Fair Oaks Ranch, Ca
- E•••••••• A•••••••• L•• national BDMay 12, 2003 to Jun 8, 2006 · Los Angeles, Ca
- G•• A•••• M••••••••• I••• to T••• E••••••• A•••• M•••••••••left Oct 24, 2023, registered Jan 5, 2023 (-292 days) · Other · moved with a team
- M• A•••• M••••••••• I••• to G•• A•••• M••••••••• I•••left Jun 2, 2015, registered Jul 23, 2015 (51 days) · Other · moved with a team
- M••••• S•••••• to M• A•••• M••••••••• I•••left Jan 16, 2014, registered Jan 3, 2014 (-13 days) · Wirehouse to a newly registered adviser (no RAUM reported yet)
- C••••• I••••••••• S••••••• L•• to M••••• S••••••left Mar 21, 2011, registered Jun 8, 2011 (79 days) · Other
- O•••• F•• I••• to C••••• I••••••••• S••••••• L••left Feb 26, 2008, registered Feb 21, 2008 (-5 days) · Other
- E•••••••• A•••••••• L•• to O•••• F•• I•••left Jun 8, 2006, registered Aug 3, 2007 (421 days) · Other
- J•••• M•• Y•• left G•• A•••• M••••••••• I••• for T••• E••••••• A•••• M••••••••• (registered 2023-01-05)Oct 24, 2023 · 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
- STATE REGISTEREDderived
- Years in industry
- 23derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address