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.
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G••••• S••••• G••••
- P•••••• W••••• S••••••••• G••••• I••• independent RIA currentsince Jan 21, 2009 · Santa Barbara, Ca
- C••••• I••••••••• A••••••• L•• BD affiliatedNov 12, 2020 to May 3, 2022 · Santa Barbara, Ca
- F•••• A••••• A••••••• S•••••••• I••• formerJul 2, 2012 to Nov 12, 2020 · Chesterfield, Mo
- F•••• A••••• S••••••••• I••• formerMay 20, 2010 to Jul 2, 2012 · Santa Barbara, Ca
- G•••••••• I••••••••• M••••••••• I••• unclassifiedSep 14, 2004 to Oct 7, 2010 · Santa Barbara, Ca
- X•••• F•••••••• P•••••••• I••• unclassifiedJan 13, 2003 to Dec 31, 2004 · Santa Barbara, Ca
- X•••• I••••••••• S•••••••• I••• unclassifiedDec 24, 2001 to Jan 15, 2003 · Santa Barbara, Ca
- C••••• I••••••••• A••••••• L•• to no registered destinationleft May 3, 2022 · Departure, no registered destination
- F•••• A••••• A••••••• S•••••••• I••• to C••••• I••••••••• A••••••• L••left Nov 12, 2020, registered Nov 12, 2020 (0 days) · corporate re-registration, not a move
- F•••• A••••• S••••••••• I••• to F•••• A••••• A••••••• S•••••••• I•••left Jul 2, 2012, registered Jul 2, 2012 (0 days) · corporate re-registration, not a move
- G•••••••• I••••••••• M••••••••• I••• to P•••••• W••••• S••••••••• G••••• I•••left Oct 7, 2010, registered Jan 21, 2009 (-624 days) · Other
- X•••• F•••••••• P•••••••• I••• to G•••••••• I••••••••• M••••••••• I•••left Dec 31, 2004, registered Sep 14, 2004 (-108 days) · Other
- X•••• I••••••••• S•••••••• I••• to X•••• F•••••••• P•••••••• I•••left Jan 15, 2003, registered Jan 13, 2003 (-2 days) · Other
- G••••• S••••• G•••• no longer registered at C••••• I••••••••• A••••••• L••; no later IA registration on IAPDMay 3, 2022 · Advisor departure · 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
- Independent wealth managerderived
- Years in industry
- 27derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address