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.
M••• A••• B••••••
- B•••••••• A•••• M••••••••• L•• independent RIA currentsince Apr 21, 2017 · Thousand Oaks, Ca
- C••••••• A••••••• P•••••••• L•• independent RIAJun 9, 2016 to Apr 19, 2017 · Weslake Village, Ca
- C••••• A•••••• N••••••• L•• formerFeb 22, 2011 to Apr 20, 2016 · Livermore, Ca
- Q•• F•••••••• L•• unclassifiedJul 31, 2009 to Feb 11, 2011 · Woodland Hills, Ca
- T••••••••• F•••••••• A•••••••• L•• BD affiliatedJul 27, 2007 to Dec 31, 2008 · Thousand Oaks, Ca
- 1••• C•••••• M••••••••• C•••••• unclassifiedJun 8, 2006 to Jan 31, 2007 · Woodland Hills, Ca
- M•• I•••••••• S•••••••• L•• BD affiliatedSep 20, 2004 to Mar 24, 2006 · Westlake Village, Ca
- O•••• F•• I••• formerNov 7, 2002 to Jun 30, 2004 · Westlake Village, Ca
- C••••••• A••••••• P•••••••• L•• to B•••••••• A•••• M••••••••• L••left Apr 19, 2017, registered Apr 21, 2017 (2 days) · Other
- C••••• A•••••• N••••••• L•• to C••••••• A••••••• P•••••••• L••left Apr 20, 2016, registered Jun 9, 2016 (50 days) · Other
- Q•• F•••••••• L•• to C••••• A•••••• N••••••• L••left Feb 11, 2011, registered Feb 22, 2011 (11 days) · Other
- T••••••••• F•••••••• A•••••••• L•• to Q•• F•••••••• L••left Dec 31, 2008, registered Jul 31, 2009 (212 days) · Other
- 1••• C•••••• M••••••••• C•••••• to T••••••••• F•••••••• A•••••••• L••left Jan 31, 2007, registered Jul 27, 2007 (177 days) · Other
- M•• I•••••••• S•••••••• L•• to 1••• C•••••• M••••••••• C••••••left Mar 24, 2006, registered Jun 8, 2006 (76 days) · Other
- O•••• F•• I••• to M•• I•••••••• S•••••••• L••left Jun 30, 2004, registered Sep 20, 2004 (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
- 37derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address