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.
A••••• O••••• V••••
- L•••••• I••••••••• independent RIA currentsince May 22, 2025 · Boca Raton, Fl
- E••••• J•••• national BDDec 8, 2022 to May 28, 2025 · Raleigh, Nc
- W•••••• I••••••••• S••••••••• formerAug 9, 2018 to Dec 31, 2020 · Westlake Village, Ca
- J••• M••••• S••••••••• L•• wirehouseMar 1, 2016 to Feb 8, 2017 · Los Angeles, Ca
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseAug 3, 2012 to Jun 10, 2015 · Hawthorne, Ca
- A••••••••• F•••••••• S•••••••• L•• national BDFeb 9, 2011 to Jul 26, 2012 · Agoura Hills, Ca
- E••••• J•••• to L•••••• I•••••••••left May 28, 2025, registered May 22, 2025 (-6 days) · Affiliated broker-dealer or bank to independent RIA
- W•••••• I••••••••• S••••••••• to E••••• J••••left Dec 31, 2020, registered Dec 8, 2022 (707 days) · Affiliated broker-dealer or bank to another
- J••• M••••• S••••••••• L•• to W•••••• I••••••••• S•••••••••left Feb 8, 2017, registered Aug 9, 2018 (547 days) · Wirehouse to independent RIA
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to J••• M••••• S••••••••• L••left Jun 10, 2015, registered Mar 1, 2016 (265 days) · Wirehouse to wirehouse · moved with a team
- A••••••••• F•••••••• S•••••••• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Jul 26, 2012, registered Aug 3, 2012 (8 days) · Affiliated broker-dealer or bank to wirehouse
- A••••• O••••• V•••• left E••••• J•••• for L•••••• I••••••••• (registered 2025-05-22)May 28, 2025 · 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
- Independent wealth managerderived
- Years in industry
- 18derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address