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.
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- V•••• C•••••• P•••••••• L•• independent RIA currentsince Sep 20, 2025 · Ventura, Ca
- S••••••••• A•••••• A•••••••• I••• formerDec 11, 2014 to Mar 5, 2021 · Ventura, Ca
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseJan 25, 2006 to Dec 12, 2014 · Oxnard, Ca
- W•••• F•••• I••••••••• L•• unclassifiedMay 15, 2001 to Jan 25, 2006 · Ventura, Ca
- S••••••••• A•••••• A•••••••• I••• to V•••• C•••••• P•••••••• L••left Mar 5, 2021, registered Sep 20, 2025 (1660 days) · Affiliated broker-dealer or bank to independent RIA
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to S••••••••• A•••••• A•••••••• I•••left Dec 12, 2014, registered Dec 11, 2014 (-1 days) · Other
- W•••• F•••• I••••••••• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Jan 25, 2006, registered Jan 25, 2006 (0 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
- 29derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address