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•••••• T•••• B•••
- W•••• F•••• A••••••• wirehouse currentsince Apr 27, 2026 · Los Angeles, Ca
- R•••••• J•••• • A••••••••• I••• national BDMar 12, 2024 to Apr 29, 2026 · Los Angeles, Ca
- S•••••• N••••••• • C••••••• I••••••••• national BDSep 10, 2018 to Mar 25, 2024 · Los Angeles, Ca
- M•• I•••••••• S•••••••• L•• BD affiliatedMar 25, 2017 to Sep 10, 2018 · Woodland Hills, Ca
- M•• F•••••••• S•••••••• I••• formerJun 28, 2005 to Mar 25, 2017 · Los Angeles, Ca
- R•••••• J•••• • A••••••••• I••• to W•••• F•••• A•••••••left Apr 29, 2026, registered Apr 27, 2026 (-2 days) · Affiliated broker-dealer or bank to wirehouse · moved with a team
- S•••••• N••••••• • C••••••• I••••••••• to R•••••• J•••• • A••••••••• I•••left Mar 25, 2024, registered Mar 12, 2024 (-13 days) · Affiliated broker-dealer or bank to another
- M•• I•••••••• S•••••••• L•• to S•••••• N••••••• • C••••••• I•••••••••left Sep 10, 2018, registered Sep 10, 2018 (0 days) · Affiliated broker-dealer or bank to another
- M•• F•••••••• S•••••••• I••• to M•• I•••••••• S•••••••• L••left Mar 25, 2017, registered Mar 25, 2017 (0 days) · corporate re-registration, not a move
- M•••••• T•••• B••• left R•••••• J•••• • A••••••••• I••• for W•••• F•••• A••••••• (registered 2026-04-27)Apr 29, 2026 · Advisor changed firm · fact
- M•••••• T•••• B••• left S•••••• N••••••• • C••••••• I••••••••• for R•••••• J•••• • A••••••••• I••• (registered 2024-03-12)Mar 25, 2024 · 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