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.
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- C•••••••• G••••• M•••••• I••• BD affiliated currentsince Jun 9, 2022 · Los Angeles, Ca
- J••• M••••• S••••••••• L•• wirehouseMar 5, 2019 to Mar 29, 2021 · Tarzana, Ca
- S•••••••• I••••••••• M••••••••• formerJan 25, 2017 to Mar 9, 2018 · Saint Louis, Mo
- C••• F•••••••• S•••••••• L••• formerJul 18, 2016 to Nov 4, 2016 · Van Nuys, Ca
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseJun 19, 2013 to Jun 9, 2016 · Northridge, Ca
- J••• M••••• S••••••••• L•• wirehouseOct 1, 2012 to Feb 26, 2013 · Studio City, Ca
- C•••• I••••••••• S••••••• C•••• formerAug 29, 2011 to Oct 1, 2012 · Studio City, Ca
- W•••• F•••• A••••••• wirehouseMay 6, 2011 to Sep 1, 2011 · Laguna Hills, Ca
- J••• M••••• S••••••••• L•• to C•••••••• G••••• M•••••• I•••left Mar 29, 2021, registered Jun 9, 2022 (437 days) · Wirehouse to affiliated broker-dealer or bank
- S•••••••• I••••••••• M••••••••• to J••• M••••• S••••••••• L••left Mar 9, 2018, registered Mar 5, 2019 (361 days) · Affiliated broker-dealer or bank to wirehouse · moved with a team
- C••• F•••••••• S•••••••• L••• to S•••••••• I••••••••• M•••••••••left Nov 4, 2016, registered Jan 25, 2017 (82 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to C••• F•••••••• S•••••••• L•••left Jun 9, 2016, registered Jul 18, 2016 (39 days) · Other
- J••• M••••• S••••••••• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Feb 26, 2013, registered Jun 19, 2013 (113 days) · Wirehouse to wirehouse
- C•••• I••••••••• S••••••• C•••• to J••• M••••• S••••••••• L••left Oct 1, 2012, registered Oct 1, 2012 (0 days) · corporate re-registration, not a move
- W•••• F•••• A••••••• to C•••• I••••••••• S••••••• C••••left Sep 1, 2011, registered Aug 29, 2011 (-3 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 16derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address