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.
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- M••••• S•••••• wirehouse currentsince Aug 1, 2022 · Los Angeles, Ca
- R•• S••••••••• I••• BD affiliatedApr 10, 2019 to Jan 26, 2022 · Los Angeles, Ca
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseMar 24, 2017 to Jul 25, 2018 · Pasadena, Ca
- U•• F•••••••• S••••••• I••• wirehouseFeb 24, 2016 to Mar 21, 2017 · Beverly Hills, Ca
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseApr 30, 2013 to Feb 25, 2016 · Los Angeles, Ca
- R•• S••••••••• I••• to M••••• S••••••left Jan 26, 2022, registered Aug 1, 2022 (187 days) · RIA to wirehouse
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to R•• S••••••••• I•••left Jul 25, 2018, registered Apr 10, 2019 (259 days) · Wirehouse to independent RIA
- U•• F•••••••• S••••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Mar 21, 2017, registered Mar 24, 2017 (3 days) · Wirehouse to wirehouse · moved with a team
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to U•• F•••••••• S••••••• I•••left Feb 25, 2016, registered Feb 24, 2016 (-1 days) · Wirehouse to wirehouse · moved with a team
- A••• E• L••••• left R•• S••••••••• I••• for M••••• S•••••• (registered 2022-08-01)Jan 26, 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
- 13derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address