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.
R•••• B••••• L•••••
- L•• F•••••••• L•• BD affiliated currentsince Nov 30, 2020 · Thousand Oaks, Ca
- M••••• S•••••• wirehouseSep 2, 2009 to Nov 25, 2020 · Oxnard, Ca
- G••• C•••• S••••••••• I••• formerJun 26, 2003 to Aug 21, 2009 · Thousand Oaks, Ca
- M••••• S•••••• D• I••• unclassifiedNov 2, 1998 to Jul 11, 2002 · Thousand Oaks, Ca
- M••••• S•••••• to L•• F•••••••• L••left Nov 25, 2020, registered Nov 30, 2020 (5 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
- G••• C•••• S••••••••• I••• to M••••• S••••••left Aug 21, 2009, registered Sep 2, 2009 (12 days) · Other
- M••••• S•••••• D• I••• to G••• C•••• S••••••••• I•••left Jul 11, 2002, registered Jun 26, 2003 (350 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
- 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