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.
- B•••••• B•••• state registered currentsince Jan 18, 2017 · Thousand Oaks, Ca
- M••••• C•••••• A•••••••• L•• independent RIAJul 10, 2015 to Jan 4, 2016 · Thousand Oaks, Ca
- K••••• A•••••••• I••• BD affiliatedJan 2, 2015 to May 19, 2015 · Thousand Oaks, Ca
- R••••••• H••••••• I••••••••• A•••••••• I••• formerApr 1, 2008 to Dec 31, 2014 · Thousand Oaks, Ca
- F•••••••• W••• G•••• formerJul 31, 2001 to Mar 31, 2008 · W•••Lake Village, Ca
- M••••• C•••••• A•••••••• L•• to B•••••• B••••left Jan 4, 2016, registered Jan 18, 2017 (380 days) · Other
- K••••• A•••••••• I••• to M••••• C•••••• A•••••••• L••left May 19, 2015, registered Jul 10, 2015 (52 days) · Other
- R••••••• H••••••• I••••••••• A•••••••• I••• to K••••• A•••••••• I•••left Dec 31, 2014, registered Jan 2, 2015 (2 days) · corporate re-registration, not a move
- F•••••••• W••• G•••• to R••••••• H••••••• I••••••••• A•••••••• I•••left Mar 31, 2008, registered Apr 1, 2008 (1 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
- STATE REGISTEREDderived
- Years in industry
- 28derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address