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.
J••••••• J•• M•••••••
- R•• C•••••• M••••••• L•• national BD currentsince Aug 3, 2023 · San Francisco, Ca
- J••• M••••• P•••••• W••••• A••••••• L•• formerApr 6, 2018 to Jul 21, 2023 · San Francisco, Ca
- A••••••••• F•••••••• S•••••••• L•• national BDJul 13, 2017 to Mar 28, 2018 · Roseville, Ca
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseFeb 14, 2017 to Jul 5, 2017 · Roseville, Ca
- J••• M••••• P•••••• W••••• A••••••• L•• to R•• C•••••• M••••••• L••left Jul 21, 2023, registered Aug 3, 2023 (13 days) · Affiliated broker-dealer or bank to another
- A••••••••• F•••••••• S•••••••• L•• to J••• M••••• P•••••• W••••• A••••••• L••left Mar 28, 2018, registered Apr 6, 2018 (9 days) · Affiliated broker-dealer or bank to independent RIA
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to A••••••••• F•••••••• S•••••••• L••left Jul 5, 2017, registered Jul 13, 2017 (8 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
- J••••••• J•• M••••••• left J••• M••••• P•••••• W••••• A••••••• L•• for R•• C•••••• M••••••• L•• (registered 2023-08-03)Jul 21, 2023 · 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
- National broker-dealer RIAderived
- Years in industry
- 10derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address