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.
C•••• S• D••••••
- H•••••• T••••••• • K•••• L•• independent RIA currentsince Jul 12, 2023 · New York, Ny
- M•• I•••••••• S•••••••• L•• BD affiliatedMar 5, 2015 to Jul 19, 2023 · Los Angeles, Ca
- P••• A••••• S••••••••• L•• BD affiliatedDec 20, 2013 to Oct 6, 2014 · San Diego, Ca
- A••••• A••••••• independent RIAJul 18, 2013 to Sep 27, 2013 · San Diego, Ca
- P••• A••••• S••••••••• L•• BD affiliatedNov 10, 2009 to Jul 5, 2013 · San Diego, Ca
- M•• I•••••••• S•••••••• L•• to H•••••• T••••••• • K•••• L••left Jul 19, 2023, registered Jul 12, 2023 (-7 days) · Affiliated broker-dealer or bank to another · moved with a team
- P••• A••••• S••••••••• L•• to M•• I•••••••• S•••••••• L••left Oct 6, 2014, registered Mar 5, 2015 (150 days) · Other
- A••••• A••••••• to P••• A••••• S••••••••• L••left Sep 27, 2013, registered Dec 20, 2013 (84 days) · Other
- P••• A••••• S••••••••• L•• to A••••• A•••••••left Jul 5, 2013, registered Jul 18, 2013 (13 days) · Other
- C•••• S• D•••••• left M•• I•••••••• S•••••••• L•• for H•••••• T••••••• • K•••• L•• (registered 2023-07-12)Jul 19, 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
- Independent wealth managerderived
- Years in industry
- 16derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address