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.
L•••• D•••• Z••••••••
- L•• F•••••••• L•• BD affiliated currentsince Nov 14, 2022 · Northridge, Ca
- T••• I••••••••• A•••••••• L•• independent RIAJan 17, 2017 to Dec 12, 2022 · Camarillo, Ca
- N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N•• formerJan 29, 2007 to Jan 13, 2017 · Sherman Oaks, Ca
- W••• I••••••••• I••• unclassifiedApr 14, 2004 to Nov 28, 2006 · Sherman Oaks, Ca
- C••••••• I••••••••• S••••••• unclassifiedDec 15, 2003 to Feb 26, 2004 · Chatsworth, Ca
- M••••• S•••••• D• I••• unclassifiedApr 20, 2000 to Dec 10, 2003 · Woodland Hills, Ca
- T••• I••••••••• A•••••••• L•• to L•• F•••••••• L••left Dec 12, 2022, registered Nov 14, 2022 (-28 days) · RIA to RIA
- N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N•• to T••• I••••••••• A•••••••• L••left Jan 13, 2017, registered Jan 17, 2017 (4 days) · Other
- W••• I••••••••• I••• to N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N••left Nov 28, 2006, registered Jan 29, 2007 (62 days) · Other
- C••••••• I••••••••• S••••••• to W••• I••••••••• I•••left Feb 26, 2004, registered Apr 14, 2004 (48 days) · Other
- M••••• S•••••• D• I••• to C••••••• I••••••••• S•••••••left Dec 10, 2003, registered Dec 15, 2003 (5 days) · Other
- L•••• D•••• Z•••••••• left T••• I••••••••• A•••••••• L•• for L•• F•••••••• L•• (registered 2022-11-14)Dec 12, 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 27derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address