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.
V••••••• O••••••
- A•••••• S•••• W••••• M••••••••• L•• independent RIA currentsince May 3, 2023 · Westlake Village, Ca
- P•••• O• M••• W••••• M••••••••• formerJan 5, 2022 to Jun 5, 2023 · Westlake Village, Ca
- A•••••• S•••• W••••• M••••••••• L•• independent RIAAug 10, 2021 to Jan 31, 2022 · Vancouver, Wa
- H••••• I••••••••• M••••••••• L•• independent RIAApr 28, 2016 to Apr 19, 2021 · Westlake Village, Ca
- W•••••• • R••• formerAug 26, 2009 to Oct 19, 2009 · Las Vegas, Nv
- P•••••• A•••• A•••••••• I••• unclassifiedNov 26, 2007 to Jul 10, 2009 · Newport Beach, Ca
- A••••••••• F•••••••• S•••••••• L•• national BDJun 8, 2006 to Sep 5, 2007 · Los Angeles, Ca
- P•••• O• M••• W••••• M••••••••• to A•••••• S•••• W••••• M••••••••• L••left Jun 5, 2023, registered May 3, 2023 (-33 days) · channel change inside one enterprise, not a move · moved with a team
- A•••••• S•••• W••••• M••••••••• L•• to P•••• O• M••• W••••• M•••••••••left Jan 31, 2022, registered Jan 5, 2022 (-26 days) · channel change inside one enterprise, not a move
- H••••• I••••••••• M••••••••• L•• to A•••••• S•••• W••••• M••••••••• L••left Apr 19, 2021, registered Aug 10, 2021 (113 days) · RIA to RIA
- W•••••• • R••• to H••••• I••••••••• M••••••••• L••left Oct 19, 2009, registered Apr 28, 2016 (2383 days) · Other
- P•••••• A•••• A•••••••• I••• to W•••••• • R•••left Jul 10, 2009, registered Aug 26, 2009 (47 days) · Other
- A••••••••• F•••••••• S•••••••• L•• to P•••••• A•••• A•••••••• I•••left Sep 5, 2007, registered Nov 26, 2007 (82 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
- Independent wealth managerderived
- Years in industry
- 20derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address