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.
A••• R•••••• J••••••
- J••• M••••• S••••••••• L•• wirehouse currentsince Oct 31, 2023 · Westlake Village, Ca
- R•• S••••••••• I••• BD affiliatedFeb 17, 2022 to Nov 3, 2023 · Las Vegas, Nv
- W•••• F•••• A••••••• wirehouseOct 2, 2013 to Feb 10, 2022 · Westlake Village, Ca
- R•• S••••••••• I••• to J••• M••••• S••••••••• L••left Nov 3, 2023, registered Oct 31, 2023 (-3 days) · RIA to wirehouse
- W•••• F•••• A••••••• to R•• S••••••••• I•••left Feb 10, 2022, registered Feb 17, 2022 (7 days) · Wirehouse to independent RIA
- A••• R•••••• J•••••• left R•• S••••••••• I••• for J••• M••••• S••••••••• L•• (registered 2023-10-31)Nov 3, 2023 · Advisor changed firm · fact
- A••• R•••••• J•••••• left W•••• F•••• A••••••• for R•• S••••••••• I••• (registered 2022-02-17)Feb 10, 2022 · Advisor changed firm · fact
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
- 13derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address