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.
H•••• H••••• B•••••••••
- J••• M••••• S••••••••• L•• wirehouse currentsince Mar 3, 2023 · Pasadena, Ca
- D••••••• B••• S••••••••• I••• no RAUMJul 9, 2019 to Dec 21, 2022 · Los Angeles, Ca
- R•• S••••••••• I••• BD affiliatedMay 26, 2017 to Jun 3, 2019 · Los Angeles, Ca
- D••••••• B••• S••••••••• I••• to J••• M••••• S••••••••• L••left Dec 21, 2022, registered Mar 3, 2023 (72 days) · Affiliated broker-dealer or bank to wirehouse
- R•• S••••••••• I••• to D••••••• B••• S••••••••• I•••left Jun 3, 2019, registered Jul 9, 2019 (36 days) · Other
- H•••• H••••• B••••••••• left D••••••• B••• S••••••••• I••• for J••• M••••• S••••••••• L•• (registered 2023-03-03)Dec 21, 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