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••••••• W•••
- J••• M••••• S••••••••• L•• wirehouse currentsince Feb 2, 2022 · Newport Beach, Ca
- R•• C•••••• M••••••• L•• national BDDec 4, 2019 to Jan 28, 2022 · Los Angeles, Ca
- U•• F•••••••• S••••••• I••• wirehouseOct 8, 2014 to Dec 26, 2019 · Los Angeles, Ca
- D••••••• B••• S••••••••• I••• no RAUMMar 10, 2014 to Jul 9, 2014 · Los Angeles, Ca
- U•• F•••••••• S••••••• I••• wirehouseOct 7, 2011 to Sep 25, 2013 · San Francisco, Ca
- R•• C•••••• M••••••• L•• to J••• M••••• S••••••••• L••left Jan 28, 2022, registered Feb 2, 2022 (5 days) · Affiliated broker-dealer or bank to wirehouse
- U•• F•••••••• S••••••• I••• to R•• C•••••• M••••••• L••left Dec 26, 2019, registered Dec 4, 2019 (-22 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
- D••••••• B••• S••••••••• I••• to U•• F•••••••• S••••••• I•••left Jul 9, 2014, registered Oct 8, 2014 (91 days) · Other
- U•• F•••••••• S••••••• I••• to D••••••• B••• S••••••••• I•••left Sep 25, 2013, registered Mar 10, 2014 (166 days) · Other
- M••••••• W••• left R•• C•••••• M••••••• L•• for J••• M••••• S••••••••• L•• (registered 2022-02-02)Jan 28, 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
- 14derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address