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.
Q••••••• L••
- J••• M••••• S••••••••• L•• wirehouse currentsince May 16, 2023 · Los Angeles, Ca
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseJul 22, 2021 to May 18, 2023 · Foothill Ranch, Ca
- T• A••••••••• I••• formerFeb 27, 2018 to Jun 30, 2021 · Rowland Heights, Ca
- T• A••••••••• I••••••••• M••••••••• L•• formerFeb 26, 2018 to Jun 30, 2021 · Omaha, Ne
- S•••••••• I••••••••• M••••••••• formerMar 14, 2017 to Feb 26, 2018 · Saint Louis, Mo
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to J••• M••••• S••••••••• L••left May 18, 2023, registered May 16, 2023 (-2 days) · Wirehouse to wirehouse · moved with a team
- T• A••••••••• I••••••••• M••••••••• L•• to T• A••••••••• I•••left Jun 30, 2021, registered Feb 27, 2018 (-1219 days) · channel change inside one enterprise, not a move · moved with a team
- T• A••••••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Jun 30, 2021, registered Jul 22, 2021 (22 days) · Other
- S•••••••• I••••••••• M••••••••• to T• A••••••••• I••••••••• M••••••••• L••left Feb 26, 2018, registered Feb 26, 2018 (0 days) · corporate re-registration, not a move
- Q••••••• L•• left M•••••• L••••• P•••••• F••••• • S•••• I••••••••• for J••• M••••• S••••••••• L•• (registered 2023-05-16)May 18, 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
- 13derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address