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.
B•••• M•••••• O•••
- A•• P•••••• W••••• P•••••••• L•• independent RIA currentsince Dec 2, 2024 · Thousand Oaks, Ca
- M•••• L•• unclassifiedApr 18, 2006 to Oct 9, 2006 · Glendale, Ca
- 1•• G••••• A••••••• I•• formerDec 16, 2003 to Feb 17, 2006 · Simi Valley, Ca
- G••• C•••• S••••••••• I••• formerJan 2, 2003 to Dec 16, 2003 · Thousand Oaks, Ca
- C••••••••• F•••••••• N•••••• national BDApr 12, 2001 to Jan 3, 2003 · Westlake Village, Ca
- M•••• L•• to A•• P•••••• W••••• P•••••••• L••left Oct 9, 2006, registered Dec 2, 2024 (6629 days) · Other
- 1•• G••••• A••••••• I•• to M•••• L••left Feb 17, 2006, registered Apr 18, 2006 (60 days) · Other
- G••• C•••• S••••••••• I••• to 1•• G••••• A••••••• I••left Dec 16, 2003, registered Dec 16, 2003 (0 days) · Other
- C••••••••• F•••••••• N•••••• to G••• C•••• S••••••••• I•••left Jan 3, 2003, registered Jan 2, 2003 (-1 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
- 29derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address