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•••• M•••••• K•••
- S•••••••• A••••••• L•• national BD currentsince Mar 31, 2025 · San Diego, Ca
- F••••••• P••••••• A•• W•••••••• A••••••• formerFeb 29, 2024 to Mar 31, 2025 · San Diego, Ca
- M••••• S•••••• wirehouseSep 5, 2023 to Feb 16, 2024 · San Diego, Ca
- E•••••• C•••••• M••••••••• L•• formerMay 6, 2020 to Sep 5, 2023 · La Jolla, Ca
- P•• M•••••• A•••••• S••••••••• I••• formerMar 30, 2018 to May 11, 2020 · Temecula, Ca
- E••••• J•••• national BDDec 16, 2016 to Feb 28, 2018 · Murrieta, Ca
- F••••••• P••••••• A•• W•••••••• A••••••• to S•••••••• A••••••• L••left Mar 31, 2025, registered Mar 31, 2025 (0 days) · corporate re-registration, not a move
- M••••• S•••••• to F••••••• P••••••• A•• W•••••••• A•••••••left Feb 16, 2024, registered Feb 29, 2024 (13 days) · Wirehouse to affiliated broker-dealer or bank
- E•••••• C•••••• M••••••••• L•• to M••••• S••••••left Sep 5, 2023, registered Sep 5, 2023 (0 days) · corporate re-registration, not a move
- P•• M•••••• A•••••• S••••••••• I••• to E•••••• C•••••• M••••••••• L••left May 11, 2020, registered May 6, 2020 (-5 days) · Affiliated broker-dealer or bank to independent RIA
- E••••• J•••• to P•• M•••••• A•••••• S••••••••• I•••left Feb 28, 2018, registered Mar 30, 2018 (30 days) · Affiliated broker-dealer or bank to another
- J•••• M•••••• K••• left M••••• S•••••• for F••••••• P••••••• A•• W•••••••• A••••••• (registered 2024-02-29)Feb 16, 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
- 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