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••••• L••••• S••••
- L•• F•••••••• L•• BD affiliated currentsince Jan 1, 2025 · Oxnard, Ca
- C••••••• W••••• • C•• formerMar 20, 2009 to Dec 18, 2012 · Westlake Village, Ca
- W•••• F•••• A••••••• wirehouseJan 1, 2008 to Mar 23, 2009 · Oxnard, Ca
- A• G• E•••••• • S•••• I••• unclassifiedJan 31, 2003 to Jan 1, 2008 · Oxnard, Ca
- C•••••••• G••••• M•••••• I••• BD affiliatedJul 8, 1997 to Feb 18, 2003 · Oxnard, Ca
- C••••••• W••••• • C•• to L•• F•••••••• L••left Dec 18, 2012, registered Jan 1, 2025 (4397 days) · Other
- W•••• F•••• A••••••• to C••••••• W••••• • C••left Mar 23, 2009, registered Mar 20, 2009 (-3 days) · Other
- A• G• E•••••• • S•••• I••• to W•••• F•••• A•••••••left Jan 1, 2008, registered Jan 1, 2008 (0 days) · corporate re-registration, not a move
- C•••••••• G••••• M•••••• I••• to A• G• E•••••• • S•••• I•••left Feb 18, 2003, registered Jan 31, 2003 (-18 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
- 29derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address