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.
- P• C•••••• former currentsince May 10, 2022 · Simi Valley, Ca
- W•••••• I••••••••• S••••••••• formerApr 12, 2013 to May 10, 2022 · Simi Valley, Ca
- L•• F•••••••• L•• BD affiliatedApr 30, 2004 to Apr 10, 2013 · Glendale, Ca
- W••• I••••••••• I••• unclassifiedFeb 6, 2004 to May 3, 2004 · Canoga Park, Ca
- W•••••• I••••••••• S••••••••• to P• C••••••left May 10, 2022, registered May 10, 2022 (0 days) · Affiliated broker-dealer or bank to a newly registered adviser
- L•• F•••••••• L•• to W•••••• I••••••••• S•••••••••left Apr 10, 2013, registered Apr 12, 2013 (2 days) · Other
- W••• I••••••••• I••• to L•• F•••••••• L••left May 3, 2004, registered Apr 30, 2004 (-3 days) · Other
- P•••••• T••••• B••••• left W•••••• I••••••••• S••••••••• for P• C•••••• (registered 2022-05-10)May 10, 2022 · 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
- Former SEC-registered adviserderived
- Years in industry
- 28derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address