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••••• S•••••• wirehouse currentsince Aug 31, 2023 · Pasadena, Ca
- W•••• F•••• A••••••• wirehouseJul 20, 2022 to Aug 16, 2023 · Westlake Village, Ca
- F••••••• P••••••• A•• W•••••••• A••••••• formerSep 21, 2020 to Jul 2, 2021 · Berkeley, Ca
- J••• M••••• S••••••••• L•• wirehouseOct 2, 2018 to Sep 2, 2020 · Upland, Ca
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseFeb 20, 2015 to Oct 15, 2018 · Glendora, Ca
- E•••••••• A•••••••• L•• national BDApr 29, 2011 to Dec 23, 2014 · Claremont, Ca
- W•••• F•••• A••••••• to M••••• S••••••left Aug 16, 2023, registered Aug 31, 2023 (15 days) · Wirehouse to wirehouse
- F••••••• P••••••• A•• W•••••••• A••••••• to W•••• F•••• A•••••••left Jul 2, 2021, registered Jul 20, 2022 (383 days) · Affiliated broker-dealer or bank to wirehouse
- J••• M••••• S••••••••• L•• to F••••••• P••••••• A•• W•••••••• A•••••••left Sep 2, 2020, registered Sep 21, 2020 (19 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to J••• M••••• S••••••••• L••left Oct 15, 2018, registered Oct 2, 2018 (-13 days) · Wirehouse to wirehouse · moved with a team
- E•••••••• A•••••••• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Dec 23, 2014, registered Feb 20, 2015 (59 days) · Affiliated broker-dealer or bank to wirehouse
- A••••• S•••••• Y••• left W•••• F•••• A••••••• for M••••• S•••••• (registered 2023-08-31)Aug 16, 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
- 15derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address