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.
T••••• Q•••• E••••
- L•• F•••••••• L•• BD affiliated currentsince Nov 12, 2019 · Ventura, Ca
- S••••••••• A•••••• A•••••••• I••• formerDec 9, 2016 to Nov 12, 2019 · Thousand Oaks, Ca
- A•••• P•••• A••••••• formerDec 8, 2016 to Nov 12, 2019 · Ventura, Ca
- F••••••• S••••••••• I••• formerDec 3, 2008 to Dec 8, 2016 · Thousand Oaks, Ca
- P••• A••••• S••••••••• L•• BD affiliatedSep 23, 2008 to Dec 9, 2008 · Thousand Oaks, Ca
- M•• I•••••••• S•••••••• L•• BD affiliatedJun 10, 2004 to Jun 12, 2008 · Westlake Village, Ca
- S••••••••• A•••••• A•••••••• I••• to L•• F•••••••• L••left Nov 12, 2019, registered Nov 12, 2019 (0 days) · Affiliated broker-dealer or bank to another
- A•••• P•••• A••••••• to S••••••••• A•••••• A•••••••• I•••left Nov 12, 2019, registered Dec 9, 2016 (-1068 days) · channel change inside one enterprise, not a move
- F••••••• S••••••••• I••• to A•••• P•••• A•••••••left Dec 8, 2016, registered Dec 8, 2016 (0 days) · Other · moved with a team
- P••• A••••• S••••••••• L•• to F••••••• S••••••••• I•••left Dec 9, 2008, registered Dec 3, 2008 (-6 days) · Other
- M•• I•••••••• S•••••••• L•• to P••• A••••• S••••••••• L••left Jun 12, 2008, registered Sep 23, 2008 (103 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