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.
R••••• H•••
- J••• M••••• S••••••••• L•• wirehouse currentsince Feb 3, 2025 · Huntington, Wv
- P•••• S••••••••• L•• no RAUMApr 26, 2019 to Sep 29, 2022 · North Bethesda, Md
- E•••••• C•••••• M••••••••• L•• formerJun 15, 2017 to Oct 5, 2017 · San Francisco, Ca
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseMay 12, 2016 to Apr 17, 2017 · San Francisco, Ca
- C••••••• • C••• I••• formerOct 14, 2015 to Apr 27, 2016 · Malden, Ma
- P•••• S••••••••• L•• to J••• M••••• S••••••••• L••left Sep 29, 2022, registered Feb 3, 2025 (858 days) · Affiliated broker-dealer or bank to wirehouse
- E•••••• C•••••• M••••••••• L•• to P•••• S••••••••• L••left Oct 5, 2017, registered Apr 26, 2019 (568 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to E•••••• C•••••• M••••••••• L••left Apr 17, 2017, registered Jun 15, 2017 (59 days) · Other
- C••••••• • C••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Apr 27, 2016, registered May 12, 2016 (15 days) · Other
- R••••• H••• left P•••• S••••••••• L•• for J••• M••••• S••••••••• L•• (registered 2025-02-03)Sep 29, 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
- 10derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address