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.
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M•••••• L•• B•••••••••
- W•••• F•••• A••••••• wirehouse currentsince Aug 19, 2022 · Los Angeles, Ca
- O••••••••• • C•• I••• BD affiliatedOct 25, 2019 to Aug 19, 2022 · Los Angeles, Ca
- M••••• S•••••• wirehouseJun 6, 2016 to Oct 25, 2019 · Los Angeles, Ca
- J••• M••••• S••••••••• L•• wirehouseAug 9, 2010 to Jun 20, 2016 · Los Angeles, Ca
- C•••• I••••••••• S••••••• C•••• formerJun 2, 2010 to Jul 27, 2010 · Pasadena, Ca
- M•• I•••••••• S•••••••• L•• BD affiliatedNov 11, 2008 to Dec 18, 2008 · La Jolla, Ca
- O••••••••• • C•• I••• to W•••• F•••• A•••••••left Aug 19, 2022, registered Aug 19, 2022 (0 days) · Affiliated broker-dealer or bank to wirehouse
- M••••• S•••••• to O••••••••• • C•• I•••left Oct 25, 2019, registered Oct 25, 2019 (0 days) · Wirehouse to affiliated broker-dealer or bank
- J••• M••••• S••••••••• L•• to M••••• S••••••left Jun 20, 2016, registered Jun 6, 2016 (-14 days) · Wirehouse to wirehouse
- C•••• I••••••••• S••••••• C•••• to J••• M••••• S••••••••• L••left Jul 27, 2010, registered Aug 9, 2010 (13 days) · Other
- M•• I•••••••• S•••••••• L•• to C•••• I••••••••• S••••••• C••••left Dec 18, 2008, registered Jun 2, 2010 (531 days) · Other
- M•••••• L•• B••••••••• left O••••••••• • C•• I••• for W•••• F•••• A••••••• (registered 2022-08-19)Aug 19, 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
- Wirehousederived
- Years in industry
- 17derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address