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.
P••• C•••
- J••• M••••• S••••••••• L•• wirehouse currentsince May 2, 2022 · Columbus, Oh
- M••••• S•••••• wirehouseOct 31, 2018 to May 11, 2022 · Beverly Hills, Ca
- J••• M••••• S••••••••• L•• wirehouseSep 11, 2017 to Sep 20, 2018 · Columbus, Oh
- W•••••• S••••••••• I••• BD affiliatedAug 26, 2015 to Jul 5, 2016 · Los Angeles, Ca
- E•••••••• A•••••••• L•• national BDAug 13, 2014 to Jul 29, 2015 · Los Angeles, Ca
- M••••• S•••••• to J••• M••••• S••••••••• L••left May 11, 2022, registered May 2, 2022 (-9 days) · Wirehouse to wirehouse
- J••• M••••• S••••••••• L•• to M••••• S••••••left Sep 20, 2018, registered Oct 31, 2018 (41 days) · Wirehouse to wirehouse
- W•••••• S••••••••• I••• to J••• M••••• S••••••••• L••left Jul 5, 2016, registered Sep 11, 2017 (433 days) · Other
- E•••••••• A•••••••• L•• to W•••••• S••••••••• I•••left Jul 29, 2015, registered Aug 26, 2015 (28 days) · Other
- P••• C••• left M••••• S•••••• for J••• M••••• S••••••••• L•• (registered 2022-05-02)May 11, 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
- 12derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address