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••••• K••••••
- S•••• C••• W••••• M••••••••• I••• state registered currentsince Jun 20, 2023 · W•••Lake Village, Ca
- E••••• J•••• national BDSep 30, 2019 to Jun 19, 2023 · W•••Lake Village, Ca
- L•••••••• T••••••• A•••• M••••••••• I•• otherApr 5, 2017 to Sep 17, 2019 · Calabasas, Ca
- V•• A•••••••• I••• formerJan 17, 2017 to Apr 5, 2017 · Los Angeles, Ca
- F•••••••• W••• G•••• formerJun 19, 2014 to Mar 11, 2016 · W•••Lake Village, Ca
- A•••••• B••••••• L•• unclassifiedMay 17, 2013 to Apr 5, 2017 · Calabasas, Ca
- H•• I••••••••• I••••••••• S••••••• I••• unclassifiedApr 19, 2012 to Mar 14, 2013 · San Diego, Ca
- F•••••••• W••• G•••• formerFeb 23, 2010 to Oct 24, 2011 · W•••Lake Village, Ca
- F•••••••• W••• G•••• formerApr 25, 2001 to Aug 9, 2004 · W•••Lake Village, Ca
- E••••• J•••• to S•••• C••• W••••• M••••••••• I•••left Jun 19, 2023, registered Jun 20, 2023 (1 days) · Affiliated broker-dealer or bank to a state-registered adviser
- L•••••••• T••••••• A•••• M••••••••• I•• to E••••• J••••left Sep 17, 2019, registered Sep 30, 2019 (13 days) · RIA to affiliated broker-dealer or bank
- V•• A•••••••• I••• to L•••••••• T••••••• A•••• M••••••••• I••left Apr 5, 2017, registered Apr 5, 2017 (0 days) · Other
- A•••••• B••••••• L•• to F•••••••• W••• G••••left Apr 5, 2017, registered Jun 19, 2014 (-1021 days) · Other
- F•••••••• W••• G•••• to V•• A•••••••• I•••left Mar 11, 2016, registered Jan 17, 2017 (312 days) · Other
- H•• I••••••••• I••••••••• S••••••• I••• to A•••••• B••••••• L••left Mar 14, 2013, registered May 17, 2013 (64 days) · Other
- F•••••••• W••• G•••• to H•• I••••••••• I••••••••• S••••••• I•••left Oct 24, 2011, registered Apr 19, 2012 (178 days) · Other
- T••••• K•••••• left E••••• J•••• for S•••• C••• W••••• M••••••••• I••• (registered 2023-06-20)Jun 19, 2023 · Advisor changed firm · 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
- STATE REGISTEREDderived
- Years in industry
- 29derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address