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.
K•••• M•••• W••••
- P••••••••• S••••••••• C••••••••• independent RIA currentsince Jun 18, 2015 · Carpinteria, Ca
- W•••••• S••••••••• I••• BD affiliatedSep 27, 2011 to Jun 5, 2015 · Santa Barbara, Ca
- M••••• S•••••• wirehouseJun 1, 2009 to Jun 25, 2010 · Santa Barbara, Ca
- M••••• S•••••• • C•• L•• unclassifiedJan 30, 2008 to Jun 1, 2009 · Santa Barbara, Ca
- W•••••• S••••••••• I••• to P••••••••• S••••••••• C•••••••••left Jun 5, 2015, registered Jun 18, 2015 (13 days) · Other
- M••••• S•••••• to W•••••• S••••••••• I•••left Jun 25, 2010, registered Sep 27, 2011 (459 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
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
- 29derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address