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•••••• Y••••• F••••
- R•• S••••••••• I••• BD affiliated currentsince Dec 12, 2024 · Irvine, Ca
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseJun 27, 2024 to Oct 1, 2024 · Newport Beach, Ca
- P•• M•••••• A•••••• S••••••••• I••• formerOct 29, 2014 to May 7, 2021 · Irvine, Ca
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseFeb 10, 2012 to May 20, 2013 · Laguna Hills, Ca
- W•••• F•••• A••••••• wirehouseJan 3, 2011 to Jan 31, 2012 · Newport Beach, Ca
- W•••• F•••• I••••••••• L•• unclassifiedJul 8, 2009 to Jan 3, 2011 · Laguna Niguel, Ca
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to R•• S••••••••• I•••left Oct 1, 2024, registered Dec 12, 2024 (72 days) · Wirehouse to independent RIA
- P•• M•••••• A•••••• S••••••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left May 7, 2021, registered Jun 27, 2024 (1147 days) · Affiliated broker-dealer or bank to wirehouse
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to P•• M•••••• A•••••• S••••••••• I•••left May 20, 2013, registered Oct 29, 2014 (527 days) · Other
- W•••• F•••• A••••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Jan 31, 2012, registered Feb 10, 2012 (10 days) · Wirehouse to wirehouse
- W•••• F•••• I••••••••• L•• to W•••• F•••• A•••••••left Jan 3, 2011, registered Jan 3, 2011 (0 days) · corporate re-registration, not a move
- M•••••• Y••••• F•••• left M•••••• L••••• P•••••• F••••• • S•••• I••••••••• for R•• S••••••••• I••• (registered 2024-12-12)Oct 1, 2024 · 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
- 17derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address