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.
W•••• A••• C•••••••
- K••••• A•••••••• I••• BD affiliated currentsince May 19, 2017 · Ft. Lauderdale, Fl
- T•• F••••••••• L•• unclassifiedFeb 9, 2015 to May 20, 2017 · Santa Barbara, Ca
- S••••••••• A•••••• A•••••••• I••• formerFeb 8, 2013 to May 7, 2014 · Santa Barbara, Ca
- L•• F•••••••• L•• BD affiliatedSep 29, 2010 to Feb 12, 2013 · Santa Barbara, Ca
- M•••••• W••••• M••••••••• L• independent RIAOct 4, 2005 to May 20, 2011 · Santa Barbara, Ca
- N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N•• formerOct 3, 2005 to Nov 13, 2009 · Santa Barbara, Ca
- M••••• S•••••• D• I••• unclassifiedJul 8, 1997 to Aug 29, 2005 · Santa Barbar, Ca
- T•• F••••••••• L•• to K••••• A•••••••• I•••left May 20, 2017, registered May 19, 2017 (-1 days) · Other · moved with a team
- S••••••••• A•••••• A•••••••• I••• to T•• F••••••••• L••left May 7, 2014, registered Feb 9, 2015 (278 days) · Other
- L•• F•••••••• L•• to S••••••••• A•••••• A•••••••• I•••left Feb 12, 2013, registered Feb 8, 2013 (-4 days) · Other
- M•••••• W••••• M••••••••• L• to L•• F•••••••• L••left May 20, 2011, registered Sep 29, 2010 (-233 days) · Other
- N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N•• to M•••••• W••••• M••••••••• L•left Nov 13, 2009, registered Oct 4, 2005 (-1501 days) · Other
- M••••• S•••••• D• I••• to N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N••left Aug 29, 2005, registered Oct 3, 2005 (35 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