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•••••• S••••
- S••••••• A•••••••• L•• asset manager currentsince Jan 23, 2023 · Irvine, Ca
- M••••• S•••••• wirehouseJan 22, 2020 to Mar 17, 2022 · Greenwood Village, Co
- A••••••••• L••• otherJan 23, 2006 to Feb 10, 2020 · Los Angeles, Ca
- M••••• S•••••• to S••••••• A•••••••• L••left Mar 17, 2022, registered Jan 23, 2023 (312 days) · Wirehouse to a newly registered adviser (no RAUM reported yet)
- A••••••••• L••• to M••••• S••••••left Feb 10, 2020, registered Jan 22, 2020 (-19 days) · Other
- M•••••• S•••• left M••••• S•••••• for S••••••• A•••••••• L•• (registered 2023-01-23)Mar 17, 2022 · 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
- Asset manager (funds and pooled vehicles)derived
- Years in industry
- 20derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address