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.
D•••• G•••••• R•••••••
- J••• M••••• S••••••••• L•• wirehouse currentsince Oct 7, 2021 · Pasadena, Ca
- P••••••• P•••••• W•••••• L•• independent RIAApr 12, 2021 to Sep 20, 2021 · P•••••••, Ca
- J••• M••••• S••••••••• L•• wirehouseMar 31, 2017 to Apr 13, 2021 · Pacific Palisades, Ca
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseSep 22, 2011 to Apr 3, 2017 · P•••••••, Ca
- P••••••• P•••••• W•••••• L•• to J••• M••••• S••••••••• L••left Sep 20, 2021, registered Oct 7, 2021 (17 days) · RIA to wirehouse
- J••• M••••• S••••••••• L•• to P••••••• P•••••• W•••••• L••left Apr 13, 2021, registered Apr 12, 2021 (-1 days) · Wirehouse to independent RIA
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to J••• M••••• S••••••••• L••left Apr 3, 2017, registered Mar 31, 2017 (-3 days) · Wirehouse to wirehouse
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
- 15derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address