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.
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- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse currentsince Dec 11, 2023 · Beverly Hills, Ca
- J••• M••••• P•••••• W••••• A••••••• L•• formerDec 2, 2022 to Oct 27, 2023 · Los Angeles, Ca
- U••• B•••••• A•••••••• L•• BD affiliatedFeb 10, 2010 to Nov 15, 2022 · Orange, Ca
- W•••• F•••• A••••••• wirehouseAug 23, 2007 to Aug 12, 2009 · Irvine, Ca
- W•••• F•••• I••••••••• L•• unclassifiedFeb 9, 2007 to Jun 25, 2007 · Irvine, Ca
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseApr 18, 2005 to Apr 21, 2006 · Costa Mesa, Ca
- J••• M••••• P•••••• W••••• A••••••• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Oct 27, 2023, registered Dec 11, 2023 (45 days) · Affiliated broker-dealer or bank to wirehouse
- U••• B•••••• A•••••••• L•• to J••• M••••• P•••••• W••••• A••••••• L••left Nov 15, 2022, registered Dec 2, 2022 (17 days) · Affiliated broker-dealer or bank to another
- W•••• F•••• A••••••• to U••• B•••••• A•••••••• L••left Aug 12, 2009, registered Feb 10, 2010 (182 days) · Other
- W•••• F•••• I••••••••• L•• to W•••• F•••• A•••••••left Jun 25, 2007, registered Aug 23, 2007 (59 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to W•••• F•••• I••••••••• L••left Apr 21, 2006, registered Feb 9, 2007 (294 days) · Other
- Nader Razavi left J.P. Morgan Private Wealth Advisors Llc for Merrill Lynch, Pierce, Fenner & Smith Incorporated (registered 2023-12-11)Oct 27, 2023 · Advisor changed firm · fact
- Nader Razavi left U.S. Bancorp Advisors, Llc for J.P. Morgan Private Wealth Advisors Llc (registered 2022-12-02)Nov 15, 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
- Wirehousederived
- Years in industry
- 21derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address