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••••
- S•• B•••••• F•••••••• S•••••••• I••• BD affiliated currentsince Jan 1, 2025 · Russellville, Ar
- S•••••••• F••••••••• I••• formerJun 30, 2016 to Dec 31, 2022 · Camarillo, Ca
- A••••••• A••••••• S••••••• formerApr 2, 2013 to Jul 26, 2016 · Ventura, Ca
- C••••••• W••••• • C•• formerFeb 17, 2011 to Jun 18, 2012 · Ventura, Ca
- U••• B•••••• A•••••••• L•• BD affiliatedSep 10, 2009 to Jun 7, 2010 · Santa Paula, Ca
- C••••• I••••••••• S••••••• L•• formerMay 15, 2009 to Jun 5, 2009 · Ventura, Ca
- U•• F•••••••• S••••••• I••• wirehouseApr 11, 2005 to Sep 8, 2008 · Oxnard, Ca
- S•••••••• F••••••••• I••• to S•• B•••••• F•••••••• S•••••••• I•••left Dec 31, 2022, registered Jan 1, 2025 (732 days) · Affiliated broker-dealer or bank to another
- A••••••• A••••••• S••••••• to S•••••••• F••••••••• I•••left Jul 26, 2016, registered Jun 30, 2016 (-26 days) · Other
- C••••••• W••••• • C•• to A••••••• A••••••• S•••••••left Jun 18, 2012, registered Apr 2, 2013 (288 days) · Other
- U••• B•••••• A•••••••• L•• to C••••••• W••••• • C••left Jun 7, 2010, registered Feb 17, 2011 (255 days) · Other
- C••••• I••••••••• S••••••• L•• to U••• B•••••• A•••••••• L••left Jun 5, 2009, registered Sep 10, 2009 (97 days) · Other
- U•• F•••••••• S••••••• I••• to C••••• I••••••••• S••••••• L••left Sep 8, 2008, registered May 15, 2009 (249 days) · Other
- K••••••• M• W•••• left S•••••••• F••••••••• I••• for S•• B•••••• F•••••••• S•••••••• I••• (registered 2025-01-01)Dec 31, 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
- 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