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.
F•••••••• E• L••••
- U••• B•••••• A•••••••• L•• BD affiliated currentsince May 17, 2016 · Ventura, Ca
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseOct 3, 2014 to Apr 27, 2016 · Oxnard, Ca
- S•••••••• F••••••••• I••• formerNov 8, 2012 to Apr 24, 2013 · Camarillo, Ca
- C•••• I••••••••• S••••••• C•••• formerJan 9, 2012 to Jul 10, 2012 · Oxnard, Ca
- V•••• F•••••••• A•••••••• I••• BD affiliatedAug 1, 2011 to Nov 23, 2011 · Woodland Hills, Ca
- W•••• F•••• A••••••• wirehouseJan 3, 2011 to Feb 23, 2011 · Oxnard, Ca
- W•••• F•••• I••••••••• L•• unclassifiedJun 19, 2006 to Jan 3, 2011 · Oxnard, Ca
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to U••• B•••••• A•••••••• L••left Apr 27, 2016, registered May 17, 2016 (20 days) · Other
- S•••••••• F••••••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Apr 24, 2013, registered Oct 3, 2014 (527 days) · Other
- C•••• I••••••••• S••••••• C•••• to S•••••••• F••••••••• I•••left Jul 10, 2012, registered Nov 8, 2012 (121 days) · Other
- V•••• F•••••••• A•••••••• I••• to C•••• I••••••••• S••••••• C••••left Nov 23, 2011, registered Jan 9, 2012 (47 days) · Other
- W•••• F•••• A••••••• to V•••• F•••••••• A•••••••• I•••left Feb 23, 2011, registered Aug 1, 2011 (159 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
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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 20derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address