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•••• A• G•••••
- W••••• E••••••••• A••••••• S•••••••• L•• BD affiliated currentsince Oct 2, 2023 · Los Angeles, Ca
- K•• W••••• A••••••• formerMay 1, 2014 to Oct 3, 2023 · Los Angeles, Ca
- I••••••••• F•••••••• G••••• L•• BD affiliatedNov 20, 2007 to Dec 24, 2015 · Los Angeles, Ca
- S•••••••• F••••••••• I••• formerOct 31, 2005 to Nov 20, 2007 · Phoenix, Az
- S••••• S••••••••• C••••••••• unclassifiedFeb 16, 2005 to Oct 31, 2005 · Woodland Hills, Ca
- K•• W••••• A••••••• to W••••• E••••••••• A••••••• S•••••••• L••left Oct 3, 2023, registered Oct 2, 2023 (-1 days) · RIA to RIA · moved with a team
- I••••••••• F•••••••• G••••• L•• to K•• W••••• A•••••••left Dec 24, 2015, registered May 1, 2014 (-602 days) · Other
- S•••••••• F••••••••• I••• to I••••••••• F•••••••• G••••• L••left Nov 20, 2007, registered Nov 20, 2007 (0 days) · Other
- S••••• S••••••••• C••••••••• to S•••••••• F••••••••• I•••left Oct 31, 2005, registered Oct 31, 2005 (0 days) · corporate re-registration, not a move
- L•••• A• G••••• left K•• W••••• A••••••• for W••••• E••••••••• A••••••• S•••••••• L•• (registered 2023-10-02)Oct 3, 2023 · 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
- 25derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address