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•••••• A••• B•••••••
- K••••• A••••••• S•••••••• L•• BD affiliated currentsince Oct 3, 2023 · Genoa, Nv
- O•••• W•••••• I••• BD affiliatedSep 1, 2023 to Oct 8, 2023 · Newbury Park, Ca
- S•••••••• F••••••••• I••• formerDec 2, 2015 to Sep 1, 2023 · Newbury Park, Ca
- P••• F•••••••• A•••••••• L•• independent RIAFeb 25, 2015 to Dec 7, 2015 · Woodland Hills, Ca
- C•••••• S••••• • C••• I••• national BDJun 26, 2013 to Feb 4, 2015 · Encino, Ca
- O•• C•••••• M••••••••• L•• independent RIAFeb 14, 2011 to Jun 10, 2013 · Westlake Village, Ca
- D••• A•••• M••••••••• unclassifiedJul 21, 2008 to Feb 3, 2011 · Westlake Village, Ca
- C•••••• S••••• • C••• I••• national BDJul 8, 1997 to Sep 10, 2002 · Laguna Hills, Ca
- O•••• W•••••• I••• to K••••• A••••••• S•••••••• L••left Oct 8, 2023, registered Oct 3, 2023 (-5 days) · Affiliated broker-dealer or bank to another · moved with a team
- S•••••••• F••••••••• I••• to O•••• W•••••• I•••left Sep 1, 2023, registered Sep 1, 2023 (0 days) · corporate re-registration, not a move
- P••• F•••••••• A•••••••• L•• to S•••••••• F••••••••• I•••left Dec 7, 2015, registered Dec 2, 2015 (-5 days) · Other
- C•••••• S••••• • C••• I••• to P••• F•••••••• A•••••••• L••left Feb 4, 2015, registered Feb 25, 2015 (21 days) · Other
- O•• C•••••• M••••••••• L•• to C•••••• S••••• • C••• I•••left Jun 10, 2013, registered Jun 26, 2013 (16 days) · Other
- D••• A•••• M••••••••• to O•• C•••••• M••••••••• L••left Feb 3, 2011, registered Feb 14, 2011 (11 days) · Other
- C•••••• S••••• • C••• I••• to D••• A•••• M•••••••••left Sep 10, 2002, registered Jul 21, 2008 (2141 days) · Other
- K•••••• A••• B••••••• left O•••• W•••••• I••• for K••••• A••••••• S•••••••• L•• (registered 2023-10-03)Oct 8, 2023 · 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
- 29derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address