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.
K••• J•••• M••••••
- N••••••• A••••••• L•• independent RIA currentsince Apr 26, 2018 · Ladera Ranch, Ca
- J••• M••••• S••••••••• L•• wirehouseOct 2, 2014 to Apr 11, 2018 · San Juan Capistrano, Ca
- S•••••••• A••••••• L•• national BDJan 23, 2013 to Sep 9, 2014 · Mission Viejo, Ca
- J••• M••••• S••••••••• L•• to N••••••• A••••••• L••left Apr 11, 2018, registered Apr 26, 2018 (15 days) · Wirehouse to independent RIA · moved with a team
- S•••••••• A••••••• L•• to J••• M••••• S••••••••• L••left Sep 9, 2014, registered Oct 2, 2014 (23 days) · Affiliated broker-dealer or bank 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
- Independent wealth managerderived
- Years in industry
- 14derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address