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.
S••••• C•••••••••
- C••••••••• F•••••••• G••••• L•• independent RIA currentsince Feb 26, 2018 · Westlake Village, Ca
- M•••••• W••••• M••••••••• L•• formerApr 15, 2016 to Apr 3, 2018 · Las Vegas, Nv
- U•• F•••••••• S••••••• I••• wirehouseFeb 13, 2009 to Apr 26, 2016 · Westlake Village, Ca
- M••••• S•••••• • C•• L•• unclassifiedApr 2, 2007 to Mar 2, 2009 · Thousand Oaks, Ca
- M••••• S•••••• D• I••• unclassifiedNov 2, 1998 to Apr 2, 2007 · Thousand Oaks, Ca
- M•••••• W••••• M••••••••• L•• to C••••••••• F•••••••• G••••• L••left Apr 3, 2018, registered Feb 26, 2018 (-36 days) · RIA to a newly registered adviser
- U•• F•••••••• S••••••• I••• to M•••••• W••••• M••••••••• L••left Apr 26, 2016, registered Apr 15, 2016 (-11 days) · Wirehouse to a newly registered adviser (no RAUM reported yet) · moved with a team
- M••••• S•••••• • C•• L•• to U•• F•••••••• S••••••• I•••left Mar 2, 2009, registered Feb 13, 2009 (-17 days) · Other
- M••••• S•••••• D• I••• to M••••• S•••••• • C•• L••left Apr 2, 2007, registered Apr 2, 2007 (0 days) · corporate re-registration, not a move
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
- 29derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address