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.
L••••••• M•••• K•••
- P•••••• C••••• S•••••••• L•• BD affiliated currentsince Aug 8, 2025 · Myrtle Beach, Sc
- J••• M••••• S••••••••• L•• wirehouseNov 27, 2017 to Dec 31, 2021 · Chatsworth, Ca
- N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N•• formerDec 11, 2013 to Nov 10, 2017 · El Segundo, Ca
- J••• M••••• S••••••••• L•• to P•••••• C••••• S•••••••• L••left Dec 31, 2021, registered Aug 8, 2025 (1316 days) · Wirehouse to affiliated broker-dealer or bank
- N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N•• to J••• M••••• S••••••••• L••left Nov 10, 2017, registered Nov 27, 2017 (17 days) · Other
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
- 14derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address