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.
E••••• A• S••••
- G••••• S•••• W••••• M••••••••• L•• independent RIA currentsince Jun 5, 2023 · Encino, Ca
- L•• F•••••••• L•• BD affiliatedMay 21, 2021 to May 12, 2023 · Tarzana, Ca
- U••• B•••••• A•••••••• L•• BD affiliatedJun 1, 2017 to Dec 1, 2020 · Los Angeles, Ca
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseJan 27, 2015 to Jun 7, 2017 · Jacksonville, Fl
- L•• F•••••••• L•• to G••••• S•••• W••••• M••••••••• L••left May 12, 2023, registered Jun 5, 2023 (24 days) · Affiliated broker-dealer or bank to independent RIA
- U••• B•••••• A•••••••• L•• to L•• F•••••••• L••left Dec 1, 2020, registered May 21, 2021 (171 days) · Affiliated broker-dealer or bank to another · moved with a team
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to U••• B•••••• A•••••••• L••left Jun 7, 2017, registered Jun 1, 2017 (-6 days) · Other
- E••••• A• S•••• left L•• F•••••••• L•• for G••••• S•••• W••••• M••••••••• L•• (registered 2023-06-05)May 12, 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
- Independent wealth managerderived
- Years in industry
- 21derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address