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.
R••• M••••
- W•••• F•••• A••••••• wirehouse currentsince May 1, 2025 · Tarpon Springs, Fl
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseMay 24, 2022 to Apr 9, 2025 · Westlake Village, Ca
- U••• B•••••• A•••••••• L•• BD affiliatedAug 23, 2017 to Apr 19, 2022 · Thousand Oaks, Ca
- W•••• F•••• A••••••• wirehouseJan 3, 2011 to Jul 25, 2017 · Westlake Village, Ca
- W•••• F•••• I••••••••• L•• unclassifiedNov 3, 2005 to Jan 3, 2011 · Westlake Village, Ca
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to W•••• F•••• A•••••••left Apr 9, 2025, registered May 1, 2025 (22 days) · Wirehouse to wirehouse · moved with a team
- U••• B•••••• A•••••••• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Apr 19, 2022, registered May 24, 2022 (35 days) · Affiliated broker-dealer or bank to wirehouse · moved with a team
- W•••• F•••• A••••••• to U••• B•••••• A•••••••• L••left Jul 25, 2017, registered Aug 23, 2017 (29 days) · Other
- W•••• F•••• I••••••••• L•• to W•••• F•••• A•••••••left Jan 3, 2011, registered Jan 3, 2011 (0 days) · corporate re-registration, not a move
- R••• M•••• left M•••••• L••••• P•••••• F••••• • S•••• I••••••••• for W•••• F•••• A••••••• (registered 2025-05-01)Apr 9, 2025 · Advisor changed firm · fact
- R••• M•••• left U••• B•••••• A•••••••• L•• for M•••••• L••••• P•••••• F••••• • S•••• I••••••••• (registered 2022-05-24)Apr 19, 2022 · Advisor changed firm · fact
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
- Wirehousederived
- Years in industry
- 21derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address