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.
L•••• J••••• M•••••
- M••••• S•••••• wirehouse currentsince Jan 28, 2019 · El Segundo, Ca
- R•• C•••••• M••••••• L•• national BDJun 29, 2017 to Jan 22, 2019 · Beverly Hills, Ca
- M••••• S•••••• wirehouseMay 25, 2010 to Jun 22, 2017 · Beverly Hills, Ca
- D••••••• B••• S••••••••• I••• no RAUMJul 22, 2009 to Apr 23, 2010 · Los Angeles, Ca
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseMar 11, 2009 to Jul 20, 2009 · Santa Monica, Ca
- U•• F•••••••• S••••••• I••• wirehouseDec 11, 2007 to Jan 27, 2009 · Beverly Hills, Ca
- R•• C•••••• M••••••• L•• to M••••• S••••••left Jan 22, 2019, registered Jan 28, 2019 (6 days) · Affiliated broker-dealer or bank to wirehouse
- M••••• S•••••• to R•• C•••••• M••••••• L••left Jun 22, 2017, registered Jun 29, 2017 (7 days) · Wirehouse to affiliated broker-dealer or bank
- D••••••• B••• S••••••••• I••• to M••••• S••••••left Apr 23, 2010, registered May 25, 2010 (32 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to D••••••• B••• S••••••••• I•••left Jul 20, 2009, registered Jul 22, 2009 (2 days) · Other
- U•• F•••••••• S••••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Jan 27, 2009, registered Mar 11, 2009 (43 days) · Wirehouse to wirehouse
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
- 18derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address