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.
W•••••• E••• B••••••
- C••••••••• W•••••• L•• independent RIA currentsince Mar 25, 2022 · Newport Beach, Ca
- V•••••• W••• C•••••• M••••••••• formerJan 13, 2014 to Sep 30, 2022 · San Diego, Ca
- K••••• P•••••• W••••• S•••••••• L•• BD affiliatedMar 9, 2012 to Feb 20, 2014 · San Diego, Ca
- M••••• S•••••• wirehouseJun 1, 2009 to Mar 26, 2012 · Rancho Sante Fe, Ca
- M••••• S•••••• • C•• L•• unclassifiedApr 27, 2007 to Jun 1, 2009 · Rancho Sante Fe, Ca
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseOct 6, 1999 to Apr 30, 2007 · La Jolla, Ca
- V•••••• W••• C•••••• M••••••••• to C••••••••• W•••••• L••left Sep 30, 2022, registered Mar 25, 2022 (-189 days) · RIA to RIA
- K••••• P•••••• W••••• S•••••••• L•• to V•••••• W••• C•••••• M•••••••••left Feb 20, 2014, registered Jan 13, 2014 (-38 days) · Other
- M••••• S•••••• to K••••• P•••••• W••••• S•••••••• L••left Mar 26, 2012, registered Mar 9, 2012 (-17 days) · Other
- M••••• S•••••• • C•• L•• to M••••• S••••••left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to M••••• S•••••• • C•• L••left Apr 30, 2007, registered Apr 27, 2007 (-3 days) · Other
- W•••••• E••• B•••••• left V•••••• W••• C•••••• M••••••••• for C••••••••• W•••••• L•• (registered 2022-03-25)Sep 30, 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
- Independent wealth managerderived
- Years in industry
- 27derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address