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••••• R••• M•••••••
- O•••• W•••••• I••• BD affiliated currentsince Sep 1, 2023 · Calimesa, Ca
- S•••••••• F••••••••• I••• formerMar 11, 2022 to Sep 1, 2023 · Riverside, Ca
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseNov 4, 2015 to Mar 14, 2022 · Yucaipa, Ca
- U••• B•••••• I••••••••• I••• formerJan 21, 2011 to Sep 30, 2015 · Redlands, Ca
- L•• F•••••••• L•• BD affiliatedOct 21, 2010 to Jan 20, 2011 · San Bernardino, Ca
- S•••••••• F••••••••• I••• to O•••• W•••••• I•••left Sep 1, 2023, registered Sep 1, 2023 (0 days) · corporate re-registration, not a move
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to S•••••••• F••••••••• I•••left Mar 14, 2022, registered Mar 11, 2022 (-3 days) · Wirehouse to affiliated broker-dealer or bank
- U••• B•••••• I••••••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Sep 30, 2015, registered Nov 4, 2015 (35 days) · Other
- L•• F•••••••• L•• to U••• B•••••• I••••••••• I•••left Jan 20, 2011, registered Jan 21, 2011 (1 days) · Other
- J••••• R••• M••••••• left M•••••• L••••• P•••••• F••••• • S•••• I••••••••• for S•••••••• F••••••••• I••• (registered 2022-03-11)Mar 14, 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 18derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address