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.
K•••• C••••••••• M•••••
- G••••• S•••• W••••• M••••••••• L•• independent RIA currentsince Nov 3, 2015 · Woodland Hills, Ca
- J••• M••••• S••••••••• L•• wirehouseOct 1, 2012 to Nov 12, 2015 · Calabasas, Ca
- C•••• I••••••••• S••••••• C•••• formerMay 2, 2009 to Oct 1, 2012 · Burbank, Ca
- W••• I••••••••• I••• unclassifiedSep 13, 2006 to May 2, 2009 · Burbank, Ca
- B••• O• A•••••• I••••••••• S•••••••• I••• unclassifiedNov 21, 2005 to Feb 10, 2006 · Westlake Village, Ca
- M••••• S•••••• D• I••• unclassifiedAug 17, 2004 to Sep 28, 2005 · Woodland Hls, Ca
- J••• M••••• S••••••••• L•• to G••••• S•••• W••••• M••••••••• L••left Nov 12, 2015, registered Nov 3, 2015 (-9 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
- W••• I••••••••• I••• to C•••• I••••••••• S••••••• C••••left May 2, 2009, registered May 2, 2009 (0 days) · corporate re-registration, not a move
- B••• O• A•••••• I••••••••• S•••••••• I••• to W••• I••••••••• I•••left Feb 10, 2006, registered Sep 13, 2006 (215 days) · Other
- M••••• S•••••• D• I••• to B••• O• A•••••• I••••••••• S•••••••• I•••left Sep 28, 2005, registered Nov 21, 2005 (54 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
- Independent wealth managerderived
- Years in industry
- 22derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address