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.
J••• K••••• E•••••••••
- L••••• A•••••••• L•• independent RIA currentsince Jan 24, 2020 · Plymouth Meeting, Pa
- O•••••• C•••••• M••••••••• L•• formerSep 6, 2018 to Nov 13, 2019 · Los Angeles, Ca
- N••••••••• M••••• I••••••••• S••••••••• no RAUMSep 11, 2017 to Feb 15, 2018 · Los Angeles, Ca
- T• A••••••••• I••••••••• M••••••••• L•• formerOct 25, 2016 to Aug 11, 2017 · 9757 Wilshire Blvd Ground Fl, Ca
- T• A••••••••• I••• formerOct 25, 2016 to Aug 11, 2017 · Beverly Hills, Ca
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseNov 5, 2015 to Aug 2, 2016 · Jenkintown, Pa
- O•••••• C•••••• M••••••••• L•• to L••••• A•••••••• L••left Nov 13, 2019, registered Jan 24, 2020 (72 days) · RIA to RIA
- N••••••••• M••••• I••••••••• S••••••••• to O•••••• C•••••• M••••••••• L••left Feb 15, 2018, registered Sep 6, 2018 (203 days) · Other
- T• A••••••••• I••••••••• M••••••••• L•• to N••••••••• M••••• I••••••••• S•••••••••left Aug 11, 2017, registered Sep 11, 2017 (31 days) · Other
- T• A••••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••left Aug 11, 2017, registered Oct 25, 2016 (-290 days) · channel change inside one enterprise, not a move · moved with a team
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to T• A••••••••• I•••left Aug 2, 2016, registered Oct 25, 2016 (84 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
- Independent wealth managerderived
- Years in industry
- 11derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address