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•••••• wirehouse currentsince Mar 31, 2022 · El Segundo, Ca
- R•• C•••••• M••••••• L•• national BDApr 12, 2021 to Apr 12, 2022 · El Segundo, Ca
- M••••• S•••••• wirehouseNov 11, 2013 to May 6, 2021 · El Segundo, Ca
- E•••••• F•••••••• S•••••••• L•• formerMay 14, 2013 to Oct 21, 2013 · Century City, Ca
- R•• C•••••• M••••••• L•• to M••••• S••••••left Apr 12, 2022, registered Mar 31, 2022 (-12 days) · Affiliated broker-dealer or bank to wirehouse
- M••••• S•••••• to R•• C•••••• M••••••• L••left May 6, 2021, registered Apr 12, 2021 (-24 days) · Wirehouse to affiliated broker-dealer or bank
- E•••••• F•••••••• S•••••••• L•• to M••••• S••••••left Oct 21, 2013, registered Nov 11, 2013 (21 days) · Other
- D•••• L•• Y••• left R•• C•••••• M••••••• L•• for M••••• S•••••• (registered 2022-03-31)Apr 12, 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
- Wirehousederived
- Years in industry
- 20derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address