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.
S••••• V••••
- U••••• P•••••••• F•••••••• S••••••• O• A•••••• A• L•••••• P•••••• independent RIA currentsince Oct 19, 2016 · Santa Barbara, Ca
- S••••••••• A•••••• A•••••••• I••• formerJan 17, 2013 to Sep 16, 2016 · Santa Barbara, Ca
- L•• F•••••••• L•• BD affiliatedJun 23, 2009 to Feb 13, 2013 · Goleta, Ca
- C••••• I••••••••• S••••••• L•• formerJun 9, 2006 to Jun 22, 2009 · Goleta, Ca
- M••••• S•••••• D• I••• unclassifiedNov 18, 2005 to Jun 7, 2006 · Santa Barbara, Ca
- S••••••••• A•••••• A•••••••• I••• to U••••• P•••••••• F•••••••• S••••••• O• A•••••• A• L•••••• P••••••left Sep 16, 2016, registered Oct 19, 2016 (33 days) · Other
- L•• F•••••••• L•• to S••••••••• A•••••• A•••••••• I•••left Feb 13, 2013, registered Jan 17, 2013 (-27 days) · Other
- C••••• I••••••••• S••••••• L•• to L•• F•••••••• L••left Jun 22, 2009, registered Jun 23, 2009 (1 days) · Other
- M••••• S•••••• D• I••• to C••••• I••••••••• S••••••• L••left Jun 7, 2006, registered Jun 9, 2006 (2 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
- 20derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address