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••• D••••• S••••••
- A•••••• W••••• M••••••••• L• independent RIA currentsince Dec 9, 2014 · Santa Barbara, Ca
- M••••• G••••• A••••••• I••• independent RIAJul 3, 2008 to Dec 12, 2014 · Santa Barbara, Ca
- M••••• A••••••• unclassifiedJun 7, 2004 to Jun 30, 2008 · Santa Barbara, Ca
- M••••• G••••• A••••••• I••• to A•••••• W••••• M••••••••• L•left Dec 12, 2014, registered Dec 9, 2014 (-3 days) · Other
- M••••• A••••••• to M••••• G••••• A••••••• I•••left Jun 30, 2008, registered Jul 3, 2008 (3 days) · corporate re-registration, not a move
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
- 22derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address