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••••
- C••••• I••••••••• A••••••• L•• BD affiliated currentsince May 17, 2024 · Los Angeles, Ca
- P••• A••••••• I••••••••• A•••••••• I••• independent RIASep 9, 2022 to Sep 27, 2022 · Plano, Tx
- T•••• S••••••••• L•• independent RIAJun 3, 2021 to Jul 23, 2021 · Woodland Hills, Ca
- M•• I•••••••• S•••••••• L•• BD affiliatedJan 26, 2018 to Jun 3, 2021 · Los Angeles, Ca
- P•••• S••••••••• L•• no RAUMOct 2, 2013 to Dec 13, 2017 · Sherman Oaks, Ca
- M•• I•••••••• S•••••••• L•• BD affiliatedSep 22, 2011 to Sep 21, 2012 · El Segundo, Ca
- P••• A••••••• I••••••••• A•••••••• I••• to C••••• I••••••••• A••••••• L••left Sep 27, 2022, registered May 17, 2024 (598 days) · RIA to affiliated broker-dealer or bank
- T•••• S••••••••• L•• to P••• A••••••• I••••••••• A•••••••• I•••left Jul 23, 2021, registered Sep 9, 2022 (413 days) · RIA to RIA
- M•• I•••••••• S•••••••• L•• to T•••• S••••••••• L••left Jun 3, 2021, registered Jun 3, 2021 (0 days) · Affiliated broker-dealer or bank to independent RIA
- P•••• S••••••••• L•• to M•• I•••••••• S•••••••• L••left Dec 13, 2017, registered Jan 26, 2018 (44 days) · Other
- M•• I•••••••• S•••••••• L•• to P•••• S••••••••• L••left Sep 21, 2012, registered Oct 2, 2013 (376 days) · Other
- M•••••• S•••• left P••• A••••••• I••••••••• A•••••••• I••• for C••••• I••••••••• A••••••• L•• (registered 2024-05-17)Sep 27, 2022 · 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
- 15derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address