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.
S••••• L• G•••••••
- P•••••• A•••••• G••••• L•• BD affiliated currentsince Jun 26, 2026 · Westlake, Ca
- M•••••• A•••••• N•••••• BD affiliatedJul 6, 2016 to Jun 26, 2026 · Westlake Village, Ca
- S•••••••• W••••• A••••••• G•••• formerOct 5, 2015 to Jul 6, 2016 · Westlake Village, Ca
- D••• D••••••• • C•• independent RIANov 25, 2013 to Oct 1, 2015 · Westlake Village, Ca
- C•••••• W••••• • C•• formerNov 4, 2013 to Nov 25, 2013 · Westlake Village, Ca
- C••••••• W••••• • C•• formerJul 20, 2009 to Nov 4, 2013 · Westlake Village, Ca
- M••••• S•••••• wirehouseJun 1, 2009 to Jul 22, 2009 · Thousand Oaks, Ca
- M••••• S•••••• • C•• L•• unclassifiedApr 2, 2007 to Jun 1, 2009 · Thousand Oaks, Ca
- M••••• S•••••• D• I••• unclassifiedJan 28, 2005 to Apr 2, 2007 · Thousand Oaks, Ca
- W•••• F•••• A••••••• wirehouseJul 1, 2003 to Jan 31, 2005 · Westlake Village, Ca
- P••••••••• E••••• G••••• L•• unclassifiedJul 8, 1997 to Jul 1, 2003 · Westlake Village, Ca
- M•••••• A•••••• N•••••• to P•••••• A•••••• G••••• L••left Jun 26, 2026, registered Jun 26, 2026 (0 days) · corporate re-registration, not a move
- S•••••••• W••••• A••••••• G•••• to M•••••• A•••••• N••••••left Jul 6, 2016, registered Jul 6, 2016 (0 days) · corporate re-registration, not a move
- D••• D••••••• • C•• to S•••••••• W••••• A••••••• G••••left Oct 1, 2015, registered Oct 5, 2015 (4 days) · Other · moved with a team
- C•••••• W••••• • C•• to D••• D••••••• • C••left Nov 25, 2013, registered Nov 25, 2013 (0 days) · corporate re-registration, not a move
- C••••••• W••••• • C•• to C•••••• W••••• • C••left Nov 4, 2013, registered Nov 4, 2013 (0 days) · corporate re-registration, not a move
- M••••• S•••••• to C••••••• W••••• • C••left Jul 22, 2009, registered Jul 20, 2009 (-2 days) · Other
- M••••• S•••••• • C•• L•• to M••••• S••••••left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
- M••••• S•••••• D• I••• to M••••• S•••••• • C•• L••left Apr 2, 2007, registered Apr 2, 2007 (0 days) · corporate re-registration, not a move
- W•••• F•••• A••••••• to M••••• S•••••• D• I•••left Jan 31, 2005, registered Jan 28, 2005 (-3 days) · Other
- P••••••••• E••••• G••••• L•• to W•••• F•••• A•••••••left Jul 1, 2003, registered Jul 1, 2003 (0 days) · corporate re-registration, not a move
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
- 33derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address