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.
M•••••• W•••••• B•••••
- O••• M•• C••••••• L•• state registered currentsince Apr 28, 2023 · Santa Rosa Valley, Ca
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseSep 28, 2020 to May 2, 2023 · Westlake Village, Ca
- J••• M••••• S••••••••• L•• wirehouseSep 22, 2017 to Oct 7, 2020 · Calabasas, Ca
- M••••• S•••••• wirehouseMar 3, 2017 to Sep 18, 2017 · Woodland Hills, Ca
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseNov 13, 2014 to Apr 3, 2017 · Los Angeles, Ca
- U••• B•••••• A•••••••• L•• BD affiliatedSep 27, 2012 to May 14, 2014 · Woodland Hills, Ca
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to O••• M•• C••••••• L••left May 2, 2023, registered Apr 28, 2023 (-4 days) · Wirehouse to a state-registered adviser
- J••• M••••• S••••••••• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Oct 7, 2020, registered Sep 28, 2020 (-9 days) · Wirehouse to wirehouse · moved with a team
- M••••• S•••••• to J••• M••••• S••••••••• L••left Sep 18, 2017, registered Sep 22, 2017 (4 days) · Wirehouse to wirehouse
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to M••••• S••••••left Apr 3, 2017, registered Mar 3, 2017 (-31 days) · Wirehouse to wirehouse · moved with a team
- U••• B•••••• A•••••••• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left May 14, 2014, registered Nov 13, 2014 (183 days) · Other
- M•••••• W•••••• B••••• left M•••••• L••••• P•••••• F••••• • S•••• I••••••••• for O••• M•• C••••••• L•• (registered 2023-04-28)May 2, 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
- 13derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address