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.
- E••••• J•••• national BD currentsince Jul 10, 2024 · Brea, Ca
- O•••• I••••••••• I••• BD affiliatedMar 16, 2023 to Jul 3, 2024 · Long Beach, Ca
- M•••••• A••••• S••••••••• L•• BD affiliatedMay 25, 2022 to Mar 9, 2023 · San Diego, Ca
- O•••• I••••••••• I••• to E••••• J••••left Jul 3, 2024, registered Jul 10, 2024 (7 days) · Affiliated broker-dealer or bank to another
- M•••••• A••••• S••••••••• L•• to O•••• I••••••••• I•••left Mar 9, 2023, registered Mar 16, 2023 (7 days) · Affiliated broker-dealer or bank to another
- C•••••• L• R••• left O•••• I••••••••• I••• for E••••• J•••• (registered 2024-07-10)Jul 3, 2024 · Advisor changed firm · fact
- C•••••• L• R••• left M•••••• A••••• S••••••••• L•• for O•••• I••••••••• I••• (registered 2023-03-16)Mar 9, 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
- National broker-dealer RIAderived
- Years in industry
- 16derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address