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 Sep 5, 2023 · Plantation, Fl
- E•••••• C•••••• M••••••••• L•• formerApr 26, 2021 to Sep 5, 2023 · Ft. Lauderdale, Fl
- E• W••••• A••••••• independent RIADec 19, 2019 to Jan 21, 2021 · Torrance, Ca
- A••••• A•• P••••••• S••••••• BD affiliatedMar 24, 2017 to Nov 15, 2019 · Sherman Oaks, Ca
- M••••• S•••••• wirehouseMar 30, 2016 to Mar 17, 2017 · Beverly Hills, Ca
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseOct 10, 2008 to Sep 6, 2011 · New York, Ny
- M••••• S•••••• • C•• L•• unclassifiedAug 7, 2007 to Oct 10, 2008 · New York, Ny
- E•••••• C•••••• M••••••••• L•• to M••••• S••••••left Sep 5, 2023, registered Sep 5, 2023 (0 days) · corporate re-registration, not a move
- E• W••••• A••••••• to E•••••• C•••••• M••••••••• L••left Jan 21, 2021, registered Apr 26, 2021 (95 days) · RIA to RIA
- A••••• A•• P••••••• S••••••• to E• W••••• A•••••••left Nov 15, 2019, registered Dec 19, 2019 (34 days) · Affiliated broker-dealer or bank to independent RIA
- M••••• S•••••• to A••••• A•• P••••••• S•••••••left Mar 17, 2017, registered Mar 24, 2017 (7 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to M••••• S••••••left Sep 6, 2011, registered Mar 30, 2016 (1667 days) · Wirehouse to wirehouse
- M••••• S•••••• • C•• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Oct 10, 2008, registered Oct 10, 2008 (0 days) · Other
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