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••••• H•••••••••
- M••••• S•••••• wirehouse currentsince Jun 3, 2022 · San Luis Obispo, Ca
- W•••• F•••• A••••••• wirehouseJan 3, 2011 to Jun 10, 2022 · King City, Ca
- W•••• F•••• I••••••••• L•• unclassifiedMar 3, 2009 to Jan 3, 2011 · Nipomo, Ca
- M••••• S•••••• • C•• L•• unclassifiedApr 2, 2007 to Mar 2, 2009 · San Luis Obispo, Ca
- M••••• S•••••• D• I••• unclassifiedJul 24, 2006 to Apr 2, 2007 · San Luis Obispo, Ca
- W•••• F•••• A••••••• to M••••• S••••••left Jun 10, 2022, registered Jun 3, 2022 (-7 days) · Wirehouse to wirehouse · moved with a team
- W•••• F•••• I••••••••• L•• to W•••• F•••• A•••••••left Jan 3, 2011, registered Jan 3, 2011 (0 days) · corporate re-registration, not a move
- M••••• S•••••• • C•• L•• to W•••• F•••• I••••••••• L••left Mar 2, 2009, registered Mar 3, 2009 (1 days) · Other
- M••••• S•••••• D• I••• to M••••• S•••••• • C•• L••left Apr 2, 2007, registered Apr 2, 2007 (0 days) · corporate re-registration, not a move
- J•• L••••• H••••••••• left W•••• F•••• A••••••• for M••••• S•••••• (registered 2022-06-03)Jun 10, 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