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.
- M••••• S•••••• wirehouse currentsince May 18, 2021 · Newport Beach, Ca
- H•••••••• A•••••••• L•• BD affiliatedJul 15, 2019 to Apr 30, 2020 · Beverly Hills, Ca
- L••••••••• formerAug 17, 2018 to Aug 8, 2019 · Beverly Hills, Ca
- U•• F•••••••• S••••••• I••• wirehouseJan 24, 2018 to May 15, 2018 · Los Angeles, Ca
- L••••••••• formerMay 12, 2017 to Jan 19, 2018 · Beverly Hills, Ca
- M••••• S•••••• wirehouseJan 9, 2015 to Nov 11, 2016 · Los Angeles, Ca
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseNov 13, 2014 to Dec 17, 2014 · El Segundo, Ca
- M••••• S•••••• wirehouseAug 25, 2014 to Nov 6, 2014 · Los Angeles, Ca
- H•••••••• A•••••••• L•• to M••••• S••••••left Apr 30, 2020, registered May 18, 2021 (383 days) · Affiliated broker-dealer or bank to wirehouse
- L••••••••• to H•••••••• A•••••••• L••left Aug 8, 2019, registered Jul 15, 2019 (-24 days) · RIA to affiliated broker-dealer or bank · moved with a team
- U•• F•••••••• S••••••• I••• to L•••••••••left May 15, 2018, registered Aug 17, 2018 (94 days) · Wirehouse to independent RIA
- L••••••••• to U•• F•••••••• S••••••• I•••left Jan 19, 2018, registered Jan 24, 2018 (5 days) · Other
- M••••• S•••••• to L•••••••••left Nov 11, 2016, registered May 12, 2017 (182 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to M••••• S••••••left Dec 17, 2014, registered Jan 9, 2015 (23 days) · Wirehouse to wirehouse
- M••••• S•••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Nov 6, 2014, registered Nov 13, 2014 (7 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
- Wirehousederived
- Years in industry
- 12derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address