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.
R•••••• C•••••
- S••••• W••••• A•••••••• I••• no RAUM currentsince Sep 1, 2025 · San Francisco, Ca
- J••• M••••• S••••••••• L•• wirehouseJan 4, 2024 to Aug 5, 2025 · Los Angeles, Ca
- H••• S••••••••• •••• I••• BD affiliatedAug 26, 2023 to Dec 8, 2023 · Encino, Ca
- J••• M••••• S••••••••• L•• to S••••• W••••• A•••••••• I•••left Aug 5, 2025, registered Sep 1, 2025 (27 days) · Other
- H••• S••••••••• •••• I••• to J••• M••••• S••••••••• L••left Dec 8, 2023, registered Jan 4, 2024 (27 days) · Affiliated broker-dealer or bank to wirehouse
- R•••••• C••••• left J••• M••••• S••••••••• L•• for S••••• W••••• A•••••••• I••• (registered 2025-09-01)Aug 5, 2025 · Advisor changed firm · fact
- R•••••• C••••• left H••• S••••••••• •••• I••• for J••• M••••• S••••••••• L•• (registered 2024-01-04)Dec 8, 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
- No RAUM reportedderived
- Years in industry
- 11derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address