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.
A•••• G••••• K•••••
- G•••••• S••••• W••••• M••••••••• L•• independent RIA currentsince May 13, 2021 · Calabasas, Ca
- S•••••••• A•••• G•••• formerJun 29, 2018 to Apr 15, 2021 · Calabasas, Ca
- C••••• A••••••• L•• formerFeb 28, 2012 to Jun 28, 2018 · Calabasas, Ca
- P•••••• W••• F•••••••• C••••••••• I•• formerMar 12, 2010 to Feb 28, 2012 · Renton, Wa
- C••••••• W••••• • C•• formerFeb 14, 2007 to Mar 16, 2010 · Encino, Ca
- M••••• S•••••• D• I••• unclassifiedAug 30, 2001 to Jan 3, 2005 · Woodland Hls, Ca
- S•••••••• A•••• G•••• to G•••••• S••••• W••••• M••••••••• L••left Apr 15, 2021, registered May 13, 2021 (28 days) · RIA to RIA
- C••••• A••••••• L•• to S•••••••• A•••• G••••left Jun 28, 2018, registered Jun 29, 2018 (1 days) · Affiliated broker-dealer or bank to independent RIA
- P•••••• W••• F•••••••• C••••••••• I•• to C••••• A••••••• L••left Feb 28, 2012, registered Feb 28, 2012 (0 days) · corporate re-registration, not a move
- C••••••• W••••• • C•• to P•••••• W••• F•••••••• C••••••••• I••left Mar 16, 2010, registered Mar 12, 2010 (-4 days) · Other
- M••••• S•••••• D• I••• to C••••••• W••••• • C••left Jan 3, 2005, registered Feb 14, 2007 (772 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
- Independent wealth managerderived
- Years in industry
- 25derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address