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.
D•••• L••••• P••••
- C•••••••• F••••••••• I••• BD affiliated currentsince Dec 16, 2010 · Summerland, Ca
- V•• A••••••• S••••••• formerNov 24, 2009 to Dec 15, 2010 · Santa Barbara, Ca
- P••••••••• A••••••• S••••••• L•• formerMay 12, 2004 to Nov 23, 2009 · Santa Barbara, Ca
- A• G• E•••••• • S•••• I••• unclassifiedJul 31, 2001 to Apr 1, 2004 · Santa Barbara, Ca
- V•• A••••••• S••••••• to C•••••••• F••••••••• I•••left Dec 15, 2010, registered Dec 16, 2010 (1 days) · Other
- P••••••••• A••••••• S••••••• L•• to V•• A••••••• S•••••••left Nov 23, 2009, registered Nov 24, 2009 (1 days) · Other
- A• G• E•••••• • S•••• I••• to P••••••••• A••••••• S••••••• L••left Apr 1, 2004, registered May 12, 2004 (41 days) · Other
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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 43derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address