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•••••• A••••• L••••
- F•••• P••••••• W•••••• L•• independent RIA currentsince Aug 18, 2022 · Calabasas, Ca
- L••••• W••••• P••••••• I••• formerNov 14, 2016 to Oct 15, 2021 · Calabasas, Ca
- C••••••••• F•••••••• N•••••• national BDApr 25, 2007 to Nov 11, 2016 · San Diego, Ca
- H••••••••• G••••• E••••• • R••••••••• S••••••••• unclassifiedFeb 28, 2000 to May 10, 2007 · Encino, Ca
- L••••• W••••• P••••••• I••• to F•••• P••••••• W•••••• L••left Oct 15, 2021, registered Aug 18, 2022 (307 days) · RIA to RIA · moved with a team
- C••••••••• F•••••••• N•••••• to L••••• W••••• P••••••• I•••left Nov 11, 2016, registered Nov 14, 2016 (3 days) · Affiliated broker-dealer or bank to a newly registered adviser · moved with a team
- H••••••••• G••••• E••••• • R••••••••• S••••••••• to C••••••••• F•••••••• N••••••left May 10, 2007, registered Apr 25, 2007 (-15 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
- 32derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address