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•••• M•••• R•••••••••
- M••••••• I••••••••• N•••••• I••• BD affiliated currentsince Sep 2, 2022 · Dallas, Tx
- W•••••• I••••••••• S••••••••• formerOct 20, 2008 to Sep 2, 2022 · Westlake Village, Ca
- C••••••• W••••• • C•• formerDec 7, 2006 to Oct 28, 2008 · Westlake Village, Ca
- S•••• I••••••••• A••••••• I••••••••• state registeredJul 28, 2005 to Dec 7, 2006 · Redlands, Ca
- W•••• F•••• A••••••• wirehouseMar 2, 2001 to Feb 28, 2005 · Westlake Village, Ca
- W•••••• I••••••••• S••••••••• to M••••••• I••••••••• N•••••• I•••left Sep 2, 2022, registered Sep 2, 2022 (0 days) · Affiliated broker-dealer or bank to another
- C••••••• W••••• • C•• to W•••••• I••••••••• S•••••••••left Oct 28, 2008, registered Oct 20, 2008 (-8 days) · Other
- S•••• I••••••••• A••••••• I••••••••• to C••••••• W••••• • C••left Dec 7, 2006, registered Dec 7, 2006 (0 days) · Other
- W•••• F•••• A••••••• to S•••• I••••••••• A••••••• I•••••••••left Feb 28, 2005, registered Jul 28, 2005 (150 days) · Wirehouse to a state-registered adviser
- D•••• M•••• R••••••••• left W•••••• I••••••••• S••••••••• for M••••••• I••••••••• N•••••• I••• (registered 2022-09-02)Sep 2, 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 40derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address