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.
D••••• S•••••• K••••
- C••••• I••••••••• A••••••• L•• BD affiliated currentsince Mar 21, 2024 · Woodland Hills, Ca
- P•••••• W••• F•••••••• C••••••••• I•• formerSep 3, 2010 to Feb 28, 2012 · Renton, Wa
- C••••••• W••••• • C•• formerJan 17, 2008 to Sep 16, 2010 · Encino, Ca
- P•••••• A•••• M••••••••• I•• formerOct 5, 2004 to Oct 8, 2007 · San Diego, Ca
- C•••••• S••••• • C••• I••• national BDDec 10, 1998 to Oct 13, 2004 · Woodland Hills, Ca
- P•••••• W••• F•••••••• C••••••••• I•• to C••••• I••••••••• A••••••• L••left Feb 28, 2012, registered Mar 21, 2024 (4405 days) · Other
- C••••••• W••••• • C•• to P•••••• W••• F•••••••• C••••••••• I••left Sep 16, 2010, registered Sep 3, 2010 (-13 days) · Other
- P•••••• A•••• M••••••••• I•• to C••••••• W••••• • C••left Oct 8, 2007, registered Jan 17, 2008 (101 days) · Other
- C•••••• S••••• • C••• I••• to P•••••• A•••• M••••••••• I••left Oct 13, 2004, registered Oct 5, 2004 (-8 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