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.
D••••• G•••••• D•••
- A•••••••• F•••••••• A•••••••• L•• independent RIA currentsince May 18, 2016 · Santa Barbara, Ca
- W•••• F•••• A••••••• wirehouseDec 7, 2010 to Jun 21, 2016 · Santa Barbara, Ca
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseFeb 6, 2001 to Dec 9, 2010 · Santa Barbara, Ca
- W•••• F•••• A••••••• to A•••••••• F•••••••• A•••••••• L••left Jun 21, 2016, registered May 18, 2016 (-34 days) · Wirehouse to a newly registered adviser (no RAUM reported yet) · moved with a team
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to W•••• F•••• A•••••••left Dec 9, 2010, registered Dec 7, 2010 (-2 days) · Wirehouse to wirehouse
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
- 25derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address