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•••• L••••••• M••••••••
- R••••••••• C•••••• M••••••••• BD affiliated currentsince Mar 27, 2023 · Los Angeles, Ca
- J••• M••••• P•••••• W••••• A••••••• L•• formerMar 18, 2016 to Apr 24, 2023 · San Francisco, Ca
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseJun 9, 2009 to Mar 22, 2016 · San Francisco, Ca
- J••• M••••• P•••••• W••••• A••••••• L•• to R••••••••• C•••••• M•••••••••left Apr 24, 2023, registered Mar 27, 2023 (-28 days) · Affiliated broker-dealer or bank to another · moved with a team
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to J••• M••••• P•••••• W••••• A••••••• L••left Mar 22, 2016, registered Mar 18, 2016 (-4 days) · Other · moved with a team
- J•••• L••••••• M•••••••• left J••• M••••• P•••••• W••••• A••••••• L•• for R••••••••• C•••••• M••••••••• (registered 2023-03-27)Apr 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 17derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address