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.
I••• M•••••• D••••
- P•••••• A•••••• G••••• L•• bd affi•••ted wealth currentsince Jun 26, 2026 · Morristown, Nj
- M•••••• A•••••• N•••••• bd affi•••ted wealthJul 6, 2016 to Jun 26, 2026 · Westlake Village, Ca
- S•••••••• W••••• A••••••• G•••• formerOct 5, 2015 to Jul 6, 2016 · Westlake Village, Ca
- D••• D••••••• • C•• independent RIANov 25, 2013 to Oct 1, 2015 · Westlake Village, Ca
- C•••••• W••••• • C•• formerNov 4, 2013 to Nov 25, 2013 · Westlake Village, Ca
- C••••••• W••••• • C•• formerFeb 15, 2007 to Nov 4, 2013 · Westlake Village, Ca
- C•••••••• G••••• M•••••• I••• bd affi•••ted wealthNov 3, 2003 to Oct 11, 2004 · Beverly Hills, Ca
- C•••••• S••••• • C••• I••• national BDJun 14, 2002 to Oct 9, 2003 · Upland, Ca
- M•••••• A•••••• N•••••• to P•••••• A•••••• G••••• L••left Jun 26, 2026, registered Jun 26, 2026 (0 days) · corporate re-registration, not a move
- S•••••••• W••••• A••••••• G•••• to M•••••• A•••••• N••••••left Jul 6, 2016, registered Jul 6, 2016 (0 days) · corporate re-registration, not a move
- D••• D••••••• • C•• to S•••••••• W••••• A••••••• G••••left Oct 1, 2015, registered Oct 5, 2015 (4 days) · Other · moved with a team
- C•••••• W••••• • C•• to D••• D••••••• • C••left Nov 25, 2013, registered Nov 25, 2013 (0 days) · corporate re-registration, not a move
- C••••••• W••••• • C•• to C•••••• W••••• • C••left Nov 4, 2013, registered Nov 4, 2013 (0 days) · corporate re-registration, not a move
- C•••••••• G••••• M•••••• I••• to C••••••• W••••• • C••left Oct 11, 2004, registered Feb 15, 2007 (857 days) · Other
- C•••••• S••••• • C••• I••• to C•••••••• G••••• M•••••• I•••left Oct 9, 2003, registered Nov 3, 2003 (25 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
- BD AFFI•••TED WEALTHderived
- Years in industry
- 29derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address