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.
A•••• F•••••••
- S••••• W••••• A•••••••• I••• no RAUM currentsince May 21, 2025 · Los Angeles, Ca
- J••• M••••• S••••••••• L•• wirehouseNov 23, 2021 to May 6, 2025 · Los Angeles, Ca
- E••••••••• F•••••••• P••••••• independent RIASep 21, 2020 to Jan 10, 2022 · Pasadena, Ca
- J••• M••••• S••••••••• L•• to S••••• W••••• A•••••••• I•••left May 6, 2025, registered May 21, 2025 (15 days) · Other · moved with a team
- E••••••••• F•••••••• P••••••• to J••• M••••• S••••••••• L••left Jan 10, 2022, registered Nov 23, 2021 (-48 days) · RIA to wirehouse
- A•••• F••••••• left J••• M••••• S••••••••• L•• for S••••• W••••• A•••••••• I••• (registered 2025-05-21)May 6, 2025 · Advisor changed firm · fact
- A•••• F••••••• left E••••••••• F•••••••• P••••••• for J••• M••••• S••••••••• L•• (registered 2021-11-23)Jan 10, 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
- No RAUM reportedderived
- Years in industry
- 10derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address