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.
K•••• D•••• W•••••
- W•••• F•••• A••••••• wirehouse currentsince Jun 3, 2021 · Westlake Village, Ca
- M••••• S•••••• wirehouseApr 19, 2013 to Jun 10, 2021 · Woodland Hills, Ca
- W•••• F•••• A••••••• wirehouseJul 1, 2003 to Apr 23, 2013 · Woodland Hills, Ca
- P••••••••• E••••• G••••• L•• unclassifiedJan 15, 2002 to Jul 1, 2003 · Encino, Ca
- M••••• S•••••• to W•••• F•••• A•••••••left Jun 10, 2021, registered Jun 3, 2021 (-7 days) · Wirehouse to wirehouse · moved with a team
- W•••• F•••• A••••••• to M••••• S••••••left Apr 23, 2013, registered Apr 19, 2013 (-4 days) · Wirehouse to wirehouse
- P••••••••• E••••• G••••• L•• to W•••• F•••• A•••••••left Jul 1, 2003, registered Jul 1, 2003 (0 days) · corporate re-registration, not a move
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
- Wirehousederived
- Years in industry
- 26derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address