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.
B•••• W• S••••
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse currentsince Jun 10, 2024 · Westlake Village, Ca
- P•••••• A•••• M••••••••• formerDec 9, 2021 to Aug 5, 2024 · Calabasas, Ca
- R•• C•••••• M••••••• L•• national BDSep 3, 2020 to Nov 4, 2021 · El Segundo, Ca
- U•• F•••••••• S••••••• I••• wirehouseMay 21, 2020 to Sep 15, 2020 · Los Angeles, Ca
- M••••• S•••••• wirehouseJul 10, 2015 to May 13, 2020 · Los Angeles, Ca
- U•• F•••••••• S••••••• I••• wirehouseMay 22, 2014 to Jul 7, 2015 · Los Angeles, Ca
- P•••••• A•••• M••••••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Aug 5, 2024, registered Jun 10, 2024 (-56 days) · RIA to wirehouse
- R•• C•••••• M••••••• L•• to P•••••• A•••• M•••••••••left Nov 4, 2021, registered Dec 9, 2021 (35 days) · Affiliated broker-dealer or bank to independent RIA
- U•• F•••••••• S••••••• I••• to R•• C•••••• M••••••• L••left Sep 15, 2020, registered Sep 3, 2020 (-12 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
- M••••• S•••••• to U•• F•••••••• S••••••• I•••left May 13, 2020, registered May 21, 2020 (8 days) · Wirehouse to wirehouse · moved with a team
- U•• F•••••••• S••••••• I••• to M••••• S••••••left Jul 7, 2015, registered Jul 10, 2015 (3 days) · Wirehouse to wirehouse · moved with a team
- B•••• W• S•••• left P•••••• A•••• M••••••••• for M•••••• L••••• P•••••• F••••• • S•••• I••••••••• (registered 2024-06-10)Aug 5, 2024 · 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
- 12derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address