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.
I•••• K••
- J••• M••••• S••••••••• L•• wirehouse currentsince Sep 7, 2022 · Columbus, Oh
- M••••• S•••••• wirehouseAug 11, 2020 to Aug 16, 2022 · Los Angeles, Ca
- F•••• H•••••••• C••••••••• I••• BD affiliatedMay 29, 2019 to Dec 31, 2019 · Pasadena, Ca
- C••••• A•••••• N••••••• L•• formerOct 8, 2015 to Apr 3, 2018 · El Segundo, Ca
- M••••• S•••••• to J••• M••••• S••••••••• L••left Aug 16, 2022, registered Sep 7, 2022 (22 days) · Wirehouse to wirehouse
- F•••• H•••••••• C••••••••• I••• to M••••• S••••••left Dec 31, 2019, registered Aug 11, 2020 (224 days) · Affiliated broker-dealer or bank to wirehouse
- C••••• A•••••• N••••••• L•• to F•••• H•••••••• C••••••••• I•••left Apr 3, 2018, registered May 29, 2019 (421 days) · Affiliated broker-dealer or bank to another
- I•••• K•• left M••••• S•••••• for J••• M••••• S••••••••• L•• (registered 2022-09-07)Aug 16, 2022 · a•••••• firm change · 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
- 11derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address