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.
I•• C••••••
- J••• M••••• S••••••••• L•• wirehouse currentsince Jun 10, 2025 · Los Angeles, Ca
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseSep 13, 2023 to May 27, 2025 · Los Angeles, Ca
- A•••• W••••• A•••••••• L•• BD affiliatedJan 4, 2022 to Jan 25, 2023 · New York, Ny
- P••••••••• S••••••••• C••••••••• independent RIASep 19, 2018 to Dec 6, 2021 · Downey, Ca
- E•••••••• A•••••••• L•• national BDMay 31, 2018 to Aug 10, 2018 · Los Angeles, Ca
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to J••• M••••• S••••••••• L••left May 27, 2025, registered Jun 10, 2025 (14 days) · Wirehouse to wirehouse · moved with a team
- A•••• W••••• A•••••••• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Jan 25, 2023, registered Sep 13, 2023 (231 days) · Affiliated broker-dealer or bank to wirehouse
- P••••••••• S••••••••• C••••••••• to A•••• W••••• A•••••••• L••left Dec 6, 2021, registered Jan 4, 2022 (29 days) · RIA to affiliated broker-dealer or bank
- E•••••••• A•••••••• L•• to P••••••••• S••••••••• C•••••••••left Aug 10, 2018, registered Sep 19, 2018 (40 days) · Affiliated broker-dealer or bank to independent RIA
- I•• C•••••• left M•••••• L••••• P•••••• F••••• • S•••• I••••••••• for J••• M••••• S••••••••• L•• (registered 2025-06-10)May 27, 2025 · Advisor changed firm · fact
- I•• C•••••• left A•••• W••••• A•••••••• L•• for M•••••• L••••• P•••••• F••••• • S•••• I••••••••• (registered 2023-09-13)Jan 25, 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
- Wirehousederived
- Years in industry
- 11derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address