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.
R••••• S• H••••••
- O•••• W•••••• I••• BD affiliated currentsince Sep 1, 2023 · Camarillo, Ca
- S•••••••• F••••••••• I••• formerJan 19, 2017 to Sep 1, 2023 · Camarillo, Ca
- M•• W••••• S••••••• independent RIAJan 10, 2014 to Mar 22, 2017 · Thousand Oaks, Ca
- L•• F•••••••• L•• BD affiliatedMay 5, 2011 to Jan 21, 2014 · Camarillo, Ca
- L••••••• P•••••••• I••• unclassifiedSep 9, 2005 to Jan 23, 2014 · Camarillo, Ca
- S•••••••• F••••••••• I••• to O•••• W•••••• I•••left Sep 1, 2023, registered Sep 1, 2023 (0 days) · corporate re-registration, not a move
- M•• W••••• S••••••• to S•••••••• F••••••••• I•••left Mar 22, 2017, registered Jan 19, 2017 (-62 days) · Other
- L••••••• P•••••••• I••• to L•• F•••••••• L••left Jan 23, 2014, registered May 5, 2011 (-994 days) · Other
- L•• F•••••••• L•• to M•• W••••• S•••••••left Jan 21, 2014, registered Jan 10, 2014 (-11 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
- 23derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address