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.
J•••• L•••• B•••
- W••••••••• A••••••• P••••••• L•• BD affiliated currentsince May 16, 2019 · Santa Barbara, Ca
- I••••••••• F•••••••• P••••••• BD affiliatedAug 6, 2012 to May 2, 2019 · Santa Barbara, Ca
- A••••••••• F•••••••• S•••••••• L•• national BDDec 15, 1997 to Jan 10, 2006 · Santa Barbara, Ca
- I••••••••• F•••••••• P••••••• to W••••••••• A••••••• P••••••• L••left May 2, 2019, registered May 16, 2019 (14 days) · Affiliated broker-dealer or bank to independent RIA · moved with a team
- A••••••••• F•••••••• S•••••••• L•• to I••••••••• F•••••••• P•••••••left Jan 10, 2006, registered Aug 6, 2012 (2400 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
- 32derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address