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.
A••••• W•••••••••
- M••••• S•••••• wirehouse currentsince Jan 5, 2024 · Santa Barbara, Ca
- J••• M••••• S••••••••• L•• wirehouseNov 18, 2020 to Oct 26, 2023 · Westlake Village, Ca
- W•••• F•••• A••••••• wirehouseFeb 25, 2014 to Nov 17, 2020 · Minneapolis, Mn
- P•••••• P••••• A••••••• L•• formerApr 11, 2012 to Dec 31, 2013 · Santa Barbara, Ca
- J••• M••••• S••••••••• L•• to M••••• S••••••left Oct 26, 2023, registered Jan 5, 2024 (71 days) · Wirehouse to wirehouse · moved with a team
- W•••• F•••• A••••••• to J••• M••••• S••••••••• L••left Nov 17, 2020, registered Nov 18, 2020 (1 days) · Wirehouse to wirehouse
- P•••••• P••••• A••••••• L•• to W•••• F•••• A•••••••left Dec 31, 2013, registered Feb 25, 2014 (56 days) · Other
- A••••• W••••••••• left J••• M••••• S••••••••• L•• for M••••• S•••••• (registered 2024-01-05)Oct 26, 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
- 14derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address