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.
R•••••• A••••• R•••••
- W•••• F•••• A••••••• wirehouse currentsince Apr 27, 2026 · Costa Mesa, Ca
- R•••••• J•••• • A••••••••• I••• national BDOct 3, 2023 to Apr 22, 2026 · Beverly Hills, Ca
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseAug 23, 2019 to Oct 4, 2023 · New York, Ny
- M• H••••••• S••••••••• I••• BD affiliatedAug 13, 2012 to Sep 27, 2012 · Irvine, Ca
- M••••• S•••••• wirehouseJul 9, 2010 to Oct 17, 2012 · Santa Monica, Ca
- M••••• S•••••• wirehouseJun 1, 2009 to May 14, 2010 · Santa Monica, Ca
- M••••• S•••••• • C•• L•• unclassifiedNov 17, 2008 to Jun 1, 2009 · Santa Monica, Ca
- R•••••• J•••• • A••••••••• I••• to W•••• F•••• A•••••••left Apr 22, 2026, registered Apr 27, 2026 (5 days) · Affiliated broker-dealer or bank to wirehouse · moved with a team
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to R•••••• J•••• • A••••••••• I•••left Oct 4, 2023, registered Oct 3, 2023 (-1 days) · Wirehouse to affiliated broker-dealer or bank
- M••••• S•••••• to M• H••••••• S••••••••• I•••left Oct 17, 2012, registered Aug 13, 2012 (-65 days) · Other
- M• H••••••• S••••••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Sep 27, 2012, registered Aug 23, 2019 (2521 days) · Other
- M••••• S•••••• • C•• L•• to M••••• S••••••left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
- R•••••• A••••• R••••• left R•••••• J•••• • A••••••••• I••• for W•••• F•••• A••••••• (registered 2026-04-27)Apr 22, 2026 · Advisor changed firm · fact
- R•••••• A••••• R••••• left M•••••• L••••• P•••••• F••••• • S•••• I••••••••• for R•••••• J•••• • A••••••••• I••• (registered 2023-10-03)Oct 4, 2023 · 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