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•••• R••••• H•••••
- J••• M••••• S••••••••• L•• wirehouse currentsince Jul 7, 2023 · Westlake Village, Ca
- E•••••••• A•••••••• L•• national BDNov 16, 2020 to Jul 14, 2023 · Los Angeles, Ca
- E•••••••• A•••••••• L•• to J••• M••••• S••••••••• L••left Jul 14, 2023, registered Jul 7, 2023 (-7 days) · Affiliated broker-dealer or bank to wirehouse · moved with a team
- J•••• R••••• H••••• left E•••••••• A•••••••• L•• for J••• M••••• S••••••••• L•• (registered 2023-07-07)Jul 14, 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
- 13derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address