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•••• R• L•••••
- J••• M••••• S••••••••• L•• wirehouse currentsince Oct 25, 2019 · Sherman Oaks, Ca
- C••• F•••••••• S•••••••• L••• formerJun 1, 2018 to Oct 18, 2019 · Van Nuys, Ca
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseNov 23, 2012 to Jun 4, 2018 · North Hollywood, Ca
- M•• F•••••••• S•••••••• I••• formerMar 1, 2012 to Sep 14, 2012 · Pasadena, Ca
- F•••• A••••• S••••••••• I••• formerJul 27, 2011 to Jan 18, 2012 · San Diego, Ca
- B•• W••••• M••••••••• I••• state registeredAug 17, 2009 to Apr 10, 2012 · Pasadena, Ca
- C••• F•••••••• S•••••••• L••• to J••• M••••• S••••••••• L••left Oct 18, 2019, registered Oct 25, 2019 (7 days) · Affiliated broker-dealer or bank to wirehouse
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to C••• F•••••••• S•••••••• L•••left Jun 4, 2018, registered Jun 1, 2018 (-3 days) · Wirehouse to affiliated broker-dealer or bank
- M•• F•••••••• S•••••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Sep 14, 2012, registered Nov 23, 2012 (70 days) · Other
- B•• W••••• M••••••••• I••• to F•••• A••••• S••••••••• I•••left Apr 10, 2012, registered Jul 27, 2011 (-258 days) · Other
- F•••• A••••• S••••••••• I••• to M•• F•••••••• S•••••••• I•••left Jan 18, 2012, registered Mar 1, 2012 (43 days) · Other
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