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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Y••• J••• C••
- W•••• F•••• A••••••• wirehouse currentsince Dec 7, 2023 · Pasadena, Ca
- U••• B•••••• I••••••••• I••• formerJun 2, 2023 to Dec 1, 2023 · Boise, Id
- U••• B•••••• A•••••••• L•• BD affiliatedDec 8, 2020 to Jun 2, 2023 · Los Angeles, Ca
- W•••• F•••• A••••••• wirehouseMay 1, 2019 to Dec 1, 2020 · Beverly Hills, Ca
- U••• B•••••• A•••••••• L•• BD affiliatedDec 5, 2017 to Apr 4, 2019 · Los Angeles, Ca
- W•••• F•••• A••••••• wirehouseJan 3, 2011 to Nov 16, 2017 · Los Angeles, Ca
- W•••• F•••• I••••••••• L•• unclassifiedApr 6, 2009 to Jan 3, 2011 · Los Angeles, Ca
- U••• B•••••• I••••••••• I••• to W•••• F•••• A•••••••left Dec 1, 2023, registered Dec 7, 2023 (6 days) · Affiliated broker-dealer or bank to wirehouse
- U••• B•••••• A•••••••• L•• to U••• B•••••• I••••••••• I•••left Jun 2, 2023, registered Jun 2, 2023 (0 days) · Affiliated broker-dealer or bank to another · moved with a team
- W•••• F•••• A••••••• to U••• B•••••• A•••••••• L••left Dec 1, 2020, registered Dec 8, 2020 (7 days) · Wirehouse to affiliated broker-dealer or bank
- U••• B•••••• A•••••••• L•• to W•••• F•••• A•••••••left Apr 4, 2019, registered May 1, 2019 (27 days) · Affiliated broker-dealer or bank to wirehouse
- W•••• F•••• A••••••• to U••• B•••••• A•••••••• L••left Nov 16, 2017, registered Dec 5, 2017 (19 days) · Other
- W•••• F•••• I••••••••• L•• to W•••• F•••• A•••••••left Jan 3, 2011, registered Jan 3, 2011 (0 days) · corporate re-registration, not a move
- Y••• J••• C•• left U••• B•••••• I••••••••• I••• for W•••• F•••• A••••••• (registered 2023-12-07)Dec 1, 2023 · Advisor changed firm · fact
- Y••• J••• C•• left U••• B•••••• A•••••••• L•• for U••• B•••••• I••••••••• I••• (registered 2023-06-02)Jun 2, 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
- 18derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address