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.
R•••••• A••• N•••••
- K••••• A••••••• S•••••••• L•• BD affiliated currentsince Oct 3, 2023 · Austin, Tx
- O•••• W•••••• I••• BD affiliatedSep 1, 2023 to Oct 6, 2023 · Newbury Park, Ca
- S•••••••• F••••••••• I••• formerNov 13, 2017 to Sep 1, 2023 · Newbury Park, Ca
- W•••••• I••••••••• S••••••••• formerJul 27, 2009 to Nov 13, 2017 · Westlake Village, Ca
- F•••••••• W••• G•••• formerFeb 6, 2003 to Jul 27, 2009 · W•••Lake Village, Ca
- C•••••••• F•••••••• G•••• A••••••• formerFeb 1, 1999 to Jan 31, 2003 · Thousand Oaks, Ca
- O•••• W•••••• I••• to K••••• A••••••• S•••••••• L••left Oct 6, 2023, registered Oct 3, 2023 (-3 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
- W•••••• I••••••••• S••••••••• to S•••••••• F••••••••• I•••left Nov 13, 2017, registered Nov 13, 2017 (0 days) · Other
- F•••••••• W••• G•••• to W•••••• I••••••••• S•••••••••left Jul 27, 2009, registered Jul 27, 2009 (0 days) · Other
- C•••••••• F•••••••• G•••• A••••••• to F•••••••• W••• G••••left Jan 31, 2003, registered Feb 6, 2003 (6 days) · Other
- R•••••• A••• N••••• left O•••• W•••••• I••• for K••••• A••••••• S•••••••• L•• (registered 2023-10-03)Oct 6, 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
- 31derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address