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•••• P•••••
- T•• A•••••••• I••• BD affiliated currentsince Nov 3, 2017 · Summit, Nj
- R•••• I••••••••• A••••••• L•• BD affiliatedApr 26, 2017 to Nov 3, 2017 · Westlake Village, Ca
- C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliatedFeb 16, 2012 to May 2, 2017 · Westlake Village, Ca
- W•••• F•••• A••••••• wirehouseJan 3, 2011 to Feb 21, 2012 · Thousand Oaks, Ca
- W•••• F•••• I••••••••• L•• unclassifiedApr 30, 2007 to Jan 3, 2011 · Thousand Oaks, Ca
- C••••• I••••••••• S••••••• L•• formerJan 13, 2006 to May 2, 2007 · Santa Barbara, Ca
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseSep 27, 2004 to Jan 10, 2006 · Fort Worth, Tx
- R•••• I••••••••• A••••••• L•• to T•• A•••••••• I•••left Nov 3, 2017, registered Nov 3, 2017 (0 days) · Other
- C•••••••• I••••••••• R••••••• A•••••••• I••• to R•••• I••••••••• A••••••• L••left May 2, 2017, registered Apr 26, 2017 (-6 days) · Other
- W•••• F•••• A••••••• to C•••••••• I••••••••• R••••••• A•••••••• I•••left Feb 21, 2012, registered Feb 16, 2012 (-5 days) · Other
- W•••• F•••• I••••••••• L•• to W•••• F•••• A•••••••left Jan 3, 2011, registered Jan 3, 2011 (0 days) · corporate re-registration, not a move
- C••••• I••••••••• S••••••• L•• to W•••• F•••• I••••••••• L••left May 2, 2007, registered Apr 30, 2007 (-2 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to C••••• I••••••••• S••••••• L••left Jan 10, 2006, registered Jan 13, 2006 (3 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