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.
- D•••••• independent RIA currentsince Jan 3, 2025 · Newbury Park, Ca
- R••••••••• P••••••• O• A•••••• independent RIAAug 24, 2015 to Aug 13, 2019 · Woodland Hills, Ca
- T• A••••••••• I••••••••• M••••••••• L•• formerJan 14, 2009 to Oct 16, 2013 · Oxnard, Ca
- T• A••••••••• I••• formerJan 14, 2009 to Oct 16, 2013 · Thousand Oaks, Ca
- C••••••••• I••••••••• S•••••••• I••• unclassifiedFeb 6, 2008 to Sep 3, 2008 · Thousand Oaks, Ca
- U•• F•••••••• S••••••• I••• wirehouseFeb 8, 2007 to Sep 20, 2007 · Woodland Hills, Ca
- U•• F•••••••• S••••••• I••• wirehouseFeb 28, 2006 to Jan 17, 2007 · Hunt Valley, Md
- R••••••••• P••••••• O• A•••••• to D••••••left Aug 13, 2019, registered Jan 3, 2025 (1970 days) · RIA to RIA
- T• A••••••••• I••••••••• M••••••••• L•• to T• A••••••••• I•••left Oct 16, 2013, registered Jan 14, 2009 (-1736 days) · channel change inside one enterprise, not a move
- T• A••••••••• I••• to R••••••••• P••••••• O• A••••••left Oct 16, 2013, registered Aug 24, 2015 (677 days) · Other
- C••••••••• I••••••••• S•••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••left Sep 3, 2008, registered Jan 14, 2009 (133 days) · Other
- U•• F•••••••• S••••••• I••• to C••••••••• I••••••••• S•••••••• I•••left Sep 20, 2007, registered Feb 6, 2008 (139 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