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.
N•••••• A•••••• O•••••
- O•••• W•••••• I••• BD affiliated currentsince Jan 19, 2024 · Westlake Village, Ca
- W••••••• F•••••••• S•••••••• I••• formerMar 1, 2019 to Jan 19, 2024 · Westlake Village, Ca
- Q•••••• A•••• M••••••••• I••• formerMar 1, 2018 to Mar 1, 2019 · Woodland Hills, Ca
- V••• F•••••••• A•••••••• I••• BD affiliatedFeb 5, 2016 to Mar 2, 2018 · Denver, Co
- I•••••••• C•••••• A••••••• formerDec 19, 2014 to Feb 25, 2016 · Woodland Hills, Ca
- C•••• C•••••• S••••••••• L••• formerDec 19, 2012 to Dec 22, 2014 · Woodland Hills, Ca
- L•• F•••••••• L•• BD affiliatedOct 12, 2009 to Jan 17, 2013 · Woodland Hills, Ca
- C•••• I••••••••• S••••••• C•••• formerMay 2, 2009 to Oct 14, 2009 · Canoga Park, Ca
- W••• I••••••••• I••• unclassifiedOct 2, 2006 to May 2, 2009 · Thousand Oaks, Ca
- W•••• F•••• I••••••••• L•• unclassifiedAug 11, 2006 to Sep 18, 2006 · Northridge, Ca
- W••••••• F•••••••• S•••••••• I••• to O•••• W•••••• I•••left Jan 19, 2024, registered Jan 19, 2024 (0 days) · corporate re-registration, not a move
- Q•••••• A•••• M••••••••• I••• to W••••••• F•••••••• S•••••••• I•••left Mar 1, 2019, registered Mar 1, 2019 (0 days) · corporate re-registration, not a move
- V••• F•••••••• A•••••••• I••• to Q•••••• A•••• M••••••••• I•••left Mar 2, 2018, registered Mar 1, 2018 (-1 days) · Other
- I•••••••• C•••••• A••••••• to V••• F•••••••• A•••••••• I•••left Feb 25, 2016, registered Feb 5, 2016 (-20 days) · Other · moved with a team
- C•••• C•••••• S••••••••• L••• to I•••••••• C•••••• A•••••••left Dec 22, 2014, registered Dec 19, 2014 (-3 days) · Other
- L•• F•••••••• L•• to C•••• C•••••• S••••••••• L•••left Jan 17, 2013, registered Dec 19, 2012 (-29 days) · Other
- C•••• I••••••••• S••••••• C•••• to L•• F•••••••• L••left Oct 14, 2009, registered Oct 12, 2009 (-2 days) · Other
- W••• I••••••••• I••• to C•••• I••••••••• S••••••• C••••left May 2, 2009, registered May 2, 2009 (0 days) · corporate re-registration, not a move
- W•••• F•••• I••••••••• L•• to W••• I••••••••• I•••left Sep 18, 2006, registered Oct 2, 2006 (14 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 26derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address