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.
T•••••• J•• G••••
- L•• F•••••••• L•• BD affiliated currentsince Jun 5, 2025 · Cincinnati, Oh
- W•••••• I••••••••• S••••••••• formerDec 16, 2013 to Jun 5, 2025 · Westlake Village, Ca
- J••• M••••• S••••••••• L•• wirehouseOct 1, 2012 to Jan 10, 2014 · Camarillo, Ca
- C•••• I••••••••• S••••••• C•••• formerSep 14, 2010 to Oct 1, 2012 · Moorpark, Ca
- M••••• S•••••• wirehouseJun 1, 2009 to Sep 13, 2010 · Montecito, Ca
- C•••••••• G••••• M•••••• I••• BD affiliatedNov 10, 2003 to Jun 1, 2009 · Ventura, Ca
- U•• F•••••••• S••••••• I••• wirehouseJul 8, 1997 to Dec 5, 2003 · Oxnard, Ca
- W•••••• I••••••••• S••••••••• to L•• F•••••••• L••left Jun 5, 2025, registered Jun 5, 2025 (0 days) · corporate re-registration, not a move
- J••• M••••• S••••••••• L•• to W•••••• I••••••••• S•••••••••left Jan 10, 2014, registered Dec 16, 2013 (-25 days) · Other
- C•••• I••••••••• S••••••• C•••• to J••• M••••• S••••••••• L••left Oct 1, 2012, registered Oct 1, 2012 (0 days) · corporate re-registration, not a move
- M••••• S•••••• to C•••• I••••••••• S••••••• C••••left Sep 13, 2010, registered Sep 14, 2010 (1 days) · Other
- C•••••••• G••••• M•••••• I••• to M••••• S••••••left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
- U•• F•••••••• S••••••• I••• to C•••••••• G••••• M•••••• I•••left Dec 5, 2003, registered Nov 10, 2003 (-25 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
- 31derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address