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••••• P•••••• C••••••
- V•••• C•••••• P•••••••• L•• independent RIA currentsince Feb 17, 2021 · Ventura, Ca
- S••••••••• A•••••• A•••••••• I••• formerDec 1, 2014 to Feb 16, 2021 · Ventura, Ca
- L•• F•••••••• L•• BD affiliatedOct 30, 2009 to Dec 17, 2014 · Ventura, Ca
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseJun 27, 2005 to Nov 3, 2009 · Oxnard, Ca
- W•••• F•••• I••••••••• L•• unclassifiedMay 15, 2001 to Jul 5, 2005 · Camarillo, Ca
- S••••••••• A•••••• A•••••••• I••• to V•••• C•••••• P•••••••• L••left Feb 16, 2021, registered Feb 17, 2021 (1 days) · Affiliated broker-dealer or bank to independent RIA
- L•• F•••••••• L•• to S••••••••• A•••••• A•••••••• I•••left Dec 17, 2014, registered Dec 1, 2014 (-16 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to L•• F•••••••• L••left Nov 3, 2009, registered Oct 30, 2009 (-4 days) · Other
- W•••• F•••• I••••••••• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Jul 5, 2005, registered Jun 27, 2005 (-8 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
- 30derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address