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.
B•••• H•••••••• B•••••
- N•••••• A••••••• BD affiliated currentsince Dec 10, 2024 · New Orleans, La
- A••••• A•• P••••••• S••••••• BD affiliatedDec 2, 2014 to Jun 6, 2023 · Pasadena, Ca
- E•••••• C•••••• M••••••••• L•• formerMar 28, 2013 to Oct 28, 2014 · Arlington, Va
- C•••••••• M••••••••• G•••• formerAug 24, 2012 to Nov 2, 2012 · Los Angeles, Ca
- T• A••••••••• I••••••••• M••••••••• L•• formerJun 24, 2011 to May 16, 2012 · Encino, Ca
- T• A••••••••• I••• formerJun 24, 2011 to May 16, 2012 · Encino, Ca
- M••••• S•••••• wirehouseSep 30, 2009 to Jun 29, 2011 · Beverly Hills, Ca
- A••••••••• F•••••••• S•••••••• L•• national BDSep 16, 2009 to Sep 21, 2009 · Los Angeles, Ca
- A••••• A•• P••••••• S••••••• to N•••••• A•••••••left Jun 6, 2023, registered Dec 10, 2024 (553 days) · Affiliated broker-dealer or bank to another
- E•••••• C•••••• M••••••••• L•• to A••••• A•• P••••••• S•••••••left Oct 28, 2014, registered Dec 2, 2014 (35 days) · Other
- C•••••••• M••••••••• G•••• to E•••••• C•••••• M••••••••• L••left Nov 2, 2012, registered Mar 28, 2013 (146 days) · Other
- T• A••••••••• I••••••••• M••••••••• L•• to T• A••••••••• I•••left May 16, 2012, registered Jun 24, 2011 (-327 days) · channel change inside one enterprise, not a move
- T• A••••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••left May 16, 2012, registered Jun 24, 2011 (-327 days) · Other
- M••••• S•••••• to T• A••••••••• I•••left Jun 29, 2011, registered Jun 24, 2011 (-5 days) · Wirehouse to a newly registered adviser (no RAUM reported yet)
- A••••••••• F•••••••• S•••••••• L•• to M••••• S••••••left Sep 21, 2009, registered Sep 30, 2009 (9 days) · Affiliated broker-dealer or bank to wirehouse
- B•••• H•••••••• B••••• left A••••• A•• P••••••• S••••••• for N•••••• A••••••• (registered 2024-12-10)Jun 6, 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 17derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address