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.
E•••• L••••
- W•••• F•••• A••••••• wirehouse currentsince Jun 5, 2023 · Westlake Village, Ca
- J••• M••••• P•••••• W••••• A••••••• L•• formerOct 26, 2018 to Jun 6, 2023 · Los Angeles, Ca
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseSep 12, 2006 to Oct 30, 2018 · Seattle, Wa
- J••• M••••• P•••••• W••••• A••••••• L•• to W•••• F•••• A•••••••left Jun 6, 2023, registered Jun 5, 2023 (-1 days) · Affiliated broker-dealer or bank to wirehouse · moved with a team
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to J••• M••••• P•••••• W••••• A••••••• L••left Oct 30, 2018, registered Oct 26, 2018 (-4 days) · Wirehouse to independent RIA · moved with a team
- E•••• L•••• left J••• M••••• P•••••• W••••• A••••••• L•• for W•••• F•••• A••••••• (registered 2023-06-05)Jun 6, 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
- Wirehousederived
- Years in industry
- 20derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address