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.
T•••• L• G•••••
- M•• C•••••• M••••••••• L•• independent RIA currentsince Nov 12, 2025 · Los Angeles, Ca
- E•••• A••••••• independent RIAJan 9, 2025 to Sep 4, 2026 · Los Angeles, Ca
- J••• M••••• S••••••••• L•• wirehouseMar 8, 2024 to Dec 22, 2024 · Los Angeles, Ca
- J••• M••••• P•••••• W••••• A••••••• L•• formerSep 21, 2021 to Jan 6, 2025 · Los Angeles, Ca
- R•• C•••••• M••••••• L•• national BDApr 1, 2019 to Sep 24, 2021 · Beverly Hills, Ca
- J••• M••••• S••••••••• L•• wirehouseDec 18, 2018 to Apr 3, 2019 · Los Angeles, Ca
- E•••• A••••••• to M•• C•••••• M••••••••• L••left Sep 4, 2026, registered Nov 12, 2025 (-296 days) · corporate re-registration, not a move
- J••• M••••• P•••••• W••••• A••••••• L•• to J••• M••••• S••••••••• L••left Jan 6, 2025, registered Mar 8, 2024 (-304 days) · channel change inside one enterprise, not a move · moved with a team
- J••• M••••• S••••••••• L•• to E•••• A•••••••left Dec 22, 2024, registered Jan 9, 2025 (18 days) · Wirehouse to independent RIA
- R•• C•••••• M••••••• L•• to J••• M••••• P•••••• W••••• A••••••• L••left Sep 24, 2021, registered Sep 21, 2021 (-3 days) · Affiliated broker-dealer or bank to another
- J••• M••••• S••••••••• L•• to R•• C•••••• M••••••• L••left Apr 3, 2019, registered Apr 1, 2019 (-2 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
- T•••• L• G••••• left J••• M••••• S••••••••• L•• for E•••• A••••••• (registered 2025-01-09)Dec 22, 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
- Independent wealth managerderived
- Years in industry
- 12derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address