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••••• P••••••
- J••• M••••• S••••••••• L•• wirehouse currentsince Jan 23, 2023 · Los Angeles, Ca
- S•••••••• A•••••••• L•• BD affiliatedSep 14, 2022 to Dec 19, 2022 · Los Angeles, Ca
- W•••• F•••• A••••••• wirehouseNov 24, 2020 to Sep 20, 2022 · Los Angeles, Ca
- S•••••••• A•••••••• L•• to J••• M••••• S••••••••• L••left Dec 19, 2022, registered Jan 23, 2023 (35 days) · Affiliated broker-dealer or bank to wirehouse
- W•••• F•••• A••••••• to S•••••••• A•••••••• L••left Sep 20, 2022, registered Sep 14, 2022 (-6 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
- J••••• P•••••• left S•••••••• A•••••••• L•• for J••• M••••• S••••••••• L•• (registered 2023-01-23)Dec 19, 2022 · Advisor changed firm · fact
- J••••• P•••••• left W•••• F•••• A••••••• for S•••••••• A•••••••• L•• (registered 2022-09-14)Sep 20, 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
- Wirehousederived
- Years in industry
- 12derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address