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.
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- P••• F•••••••• A•••••••• L•• independent RIA currentsince Jun 18, 2021 · Woodland Hills, Ca
- P•••••••• S••••••••• I••• BD affiliatedMar 16, 2017 to Jun 11, 2021 · Costa Mesa, Ca
- M• H••••••• S••••••••• I••• BD affiliatedDec 15, 2016 to Jan 24, 2017 · Newport Beach, Ca
- N••••••••• M••••• I••••••••• S••••••••• no RAUMMay 17, 2016 to Sep 13, 2016 · Los Angeles, Ca
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseFeb 10, 2015 to Mar 31, 2016 · Santa Monica, Ca
- M••••• S•••••• wirehouseOct 7, 2013 to Dec 17, 2014 · Beverly Hills, Ca
- P•••••••• S••••••••• I••• to P••• F•••••••• A•••••••• L••left Jun 11, 2021, registered Jun 18, 2021 (7 days) · Affiliated broker-dealer or bank to independent RIA
- M• H••••••• S••••••••• I••• to P•••••••• S••••••••• I•••left Jan 24, 2017, registered Mar 16, 2017 (51 days) · Other
- N••••••••• M••••• I••••••••• S••••••••• to M• H••••••• S••••••••• I•••left Sep 13, 2016, registered Dec 15, 2016 (93 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to N••••••••• M••••• I••••••••• S•••••••••left Mar 31, 2016, registered May 17, 2016 (47 days) · Other
- M••••• S•••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Dec 17, 2014, registered Feb 10, 2015 (55 days) · Wirehouse 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