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.
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- C••••••••• W•••••• L•• independent RIA currentsince Oct 27, 2020 · Overland Park, Ks
- P••••••••• A••••••• S••••••• L•• formerJan 3, 2013 to Nov 5, 2020 · Santa Barbara, Ca
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseApr 12, 2010 to Jan 11, 2013 · Santa Barbara, Ca
- W•••• F•••• I••••••••• L•• unclassifiedJan 1, 2005 to Mar 25, 2009 · Santa Barbara, Ca
- P••••••••• A••••••• S••••••• L•• to C••••••••• W•••••• L••left Nov 5, 2020, registered Oct 27, 2020 (-9 days) · corporate re-registration, not a move
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to P••••••••• A••••••• S••••••• L••left Jan 11, 2013, registered Jan 3, 2013 (-8 days) · Other
- W•••• F•••• I••••••••• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Mar 25, 2009, registered Apr 12, 2010 (383 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
- 21derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address