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•••• E•••• T••••
- A••••••• S••••••• N•••••• i••••••••• wealth currentsince Jan 1, 2025 · Santa Barbara, Ca
- C•••••• W•••••• L•• i••••••••• wealthOct 28, 2022 to Nov 30, 2023 · Santa Barbara, Ca
- S•••••••• F••••••••• I••• formerMay 9, 2017 to Nov 1, 2022 · Santa Barbara, Ca
- I••••••••• F•••••••• P••••••• BD affiliatedApr 7, 2015 to May 9, 2017 · Santa Barbara, Ca
- L•• F•••••••• L•• BD affiliatedNov 9, 2005 to Sep 7, 2016 · Santa Barbara, Ca
- W•••• F•••• I••••••••• L•• unclassifiedMay 15, 2001 to Nov 14, 2005 · Santa Barbara, Ca
- C•••••• W•••••• L•• to A••••••• S••••••• N••••••left Nov 30, 2023, registered Jan 1, 2025 (398 days) · RIA to RIA
- S•••••••• F••••••••• I••• to C•••••• W•••••• L••left Nov 1, 2022, registered Oct 28, 2022 (-4 days) · Affiliated broker-dealer or bank to a newly registered adviser · moved with a team
- I••••••••• F•••••••• P••••••• to S•••••••• F••••••••• I•••left May 9, 2017, registered May 9, 2017 (0 days) · Other
- L•• F•••••••• L•• to I••••••••• F•••••••• P•••••••left Sep 7, 2016, registered Apr 7, 2015 (-519 days) · Other
- W•••• F•••• I••••••••• L•• to L•• F•••••••• L••left Nov 14, 2005, registered Nov 9, 2005 (-5 days) · Other
- S•••• E•••• T•••• left C•••••• W•••••• L•• for A••••••• S••••••• N•••••• (registered 2025-01-01)Nov 30, 2023 · Advisor changed firm · fact
- S•••• E•••• T•••• left S•••••••• F••••••••• I••• for C•••••• W•••••• L•• (registered 2022-10-28)Nov 1, 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
- Independent wealth managerderived
- Years in industry
- 38derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address