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•••• C••••• T••••••
- M••••• S•••••• wirehouse currentsince Sep 25, 2025 · Beverly Hills, Ca
- U•• F•••••••• S••••••• I••• wirehouseJun 30, 2023 to Sep 5, 2025 · New York, Ny
- J••• M••••• P•••••• W••••• A••••••• L•• formerJan 24, 2020 to Jul 6, 2023 · New York, Ny
- M••••• S•••••• wirehouseSep 23, 2015 to Jan 21, 2020 · New York, Ny
- J••• M••••• S••••••••• L•• wirehouseJan 13, 2015 to Aug 27, 2015 · New York, Ny
- M••••• S•••••• wirehouseDec 14, 2011 to Jan 23, 2015 · New York, Ny
- M••••• S•••••• wirehouseJun 1, 2009 to Aug 17, 2010 · Los Angeles, Ca
- C•••••••• G••••• M•••••• I••• BD affiliatedNov 26, 2007 to Jun 1, 2009 · Los Angeles, Ca
- M••••• S•••••• • C•• L•• unclassifiedMay 28, 2007 to Nov 20, 2007 · Beverly Hills, Ca
- U•• F•••••••• S••••••• I••• to M••••• S••••••left Sep 5, 2025, registered Sep 25, 2025 (20 days) · Wirehouse to wirehouse · moved with a team
- J••• M••••• P•••••• W••••• A••••••• L•• to U•• F•••••••• S••••••• I•••left Jul 6, 2023, registered Jun 30, 2023 (-6 days) · Affiliated broker-dealer or bank to wirehouse · moved with a team
- M••••• S•••••• to J••• M••••• P•••••• W••••• A••••••• L••left Jan 21, 2020, registered Jan 24, 2020 (3 days) · Wirehouse to affiliated broker-dealer or bank
- J••• M••••• S••••••••• L•• to M••••• S••••••left Aug 27, 2015, registered Sep 23, 2015 (27 days) · Wirehouse to wirehouse
- M••••• S•••••• to J••• M••••• S••••••••• L••left Jan 23, 2015, registered Jan 13, 2015 (-10 days) · Wirehouse to wirehouse
- C•••••••• G••••• M•••••• I••• to M••••• S••••••left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
- M••••• S•••••• • C•• L•• to C•••••••• G••••• M•••••• I•••left Nov 20, 2007, registered Nov 26, 2007 (6 days) · Other
- J•••• C••••• T•••••• left U•• F•••••••• S••••••• I••• for M••••• S•••••• (registered 2025-09-25)Sep 5, 2025 · Advisor changed firm · fact
- J•••• C••••• T•••••• left J••• M••••• P•••••• W••••• A••••••• L•• for U•• F•••••••• S••••••• I••• (registered 2023-06-30)Jul 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
- 19derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address