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.
M•• L• L••
- L•• F•••••••• L•• BD affiliated currentsince Feb 14, 2018 · Thousand Oaks, Ca
- I••••• F•••••••• C••••••••• formerDec 5, 2012 to Feb 14, 2018 · Simi Valley, Ca
- J••• M••••• S••••••••• L•• wirehouseOct 1, 2012 to Nov 14, 2012 · Moorpark, Ca
- C•••• I••••••••• S••••••• C•••• formerMar 9, 2010 to Oct 1, 2012 · Moorpark, Ca
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseOct 15, 2007 to Feb 17, 2009 · Westlake Village, Ca
- C•••••••• G••••• M•••••• I••• BD affiliatedJun 13, 2007 to Jul 3, 2007 · San Francisco, Ca
- I••••• F•••••••• C••••••••• to L•• F•••••••• L••left Feb 14, 2018, registered Feb 14, 2018 (0 days) · corporate re-registration, not a move
- J••• M••••• S••••••••• L•• to I••••• F•••••••• C•••••••••left Nov 14, 2012, registered Dec 5, 2012 (21 days) · Other
- C•••• I••••••••• S••••••• C•••• to J••• M••••• S••••••••• L••left Oct 1, 2012, registered Oct 1, 2012 (0 days) · corporate re-registration, not a move
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to C•••• I••••••••• S••••••• C••••left Feb 17, 2009, registered Mar 9, 2010 (385 days) · Other
- C•••••••• G••••• M•••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Jul 3, 2007, registered Oct 15, 2007 (104 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
- 19derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address