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•••• L••••• M••••
- M••• S••••• R••••••• L•• independent RIA currentsince Oct 15, 2021 · Lakeville, Ct
- F••••• I••••••••• independent RIANov 15, 2017 to Aug 17, 2021 · San Mateo, Ca
- J••• M••••• S••••••••• L•• wirehouseJul 24, 2015 to Nov 15, 2017 · Manhattan Beach, Ca
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseJul 24, 2014 to Jun 26, 2015 · Oakland, Ca
- F••••• I••••••••• to M••• S••••• R••••••• L••left Aug 17, 2021, registered Oct 15, 2021 (59 days) · RIA to RIA
- J••• M••••• S••••••••• L•• to F••••• I•••••••••left Nov 15, 2017, registered Nov 15, 2017 (0 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to J••• M••••• S••••••••• L••left Jun 26, 2015, registered Jul 24, 2015 (28 days) · Wirehouse to wirehouse · moved with a team
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
- 12derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address