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.
K•• S••
- T••• E••••••• A•••• M••••••••• state registered currentsince Jan 1, 2025 · Thousand Oaks, Ca
- G•• A•••• M••••••••• I••• unclassifiedJul 23, 2015 to Oct 24, 2023 · Thousand Oaks, Ca
- M• A•••• M••••••••• I••• formerJan 3, 2014 to Jun 2, 2015 · Pasadena, Ca
- M••••• S•••••• wirehouseMay 31, 2011 to Jan 15, 2014 · Los Angeles, Ca
- T•••• S••••• S••••••••• I••• formerMay 28, 2008 to Apr 21, 2011 · Los Angeles, Ca
- C••••• I••••••••• S••••••• L•• formerJan 23, 2007 to Apr 10, 2008 · Los Angeles, Ca
- E•••••••• A•••••••• L•• national BDAug 11, 2006 to Jan 29, 2007 · Los Angeles, Ca
- G•• A•••• M••••••••• I••• to T••• E••••••• A•••• M•••••••••left Oct 24, 2023, registered Jan 1, 2025 (435 days) · Other · moved with a team
- M• A•••• M••••••••• I••• to G•• A•••• M••••••••• I•••left Jun 2, 2015, registered Jul 23, 2015 (51 days) · Other · moved with a team
- M••••• S•••••• to M• A•••• M••••••••• I•••left Jan 15, 2014, registered Jan 3, 2014 (-12 days) · Wirehouse to a newly registered adviser (no RAUM reported yet)
- T•••• S••••• S••••••••• I••• to M••••• S••••••left Apr 21, 2011, registered May 31, 2011 (40 days) · Other
- C••••• I••••••••• S••••••• L•• to T•••• S••••• S••••••••• I•••left Apr 10, 2008, registered May 28, 2008 (48 days) · Other
- E•••••••• A•••••••• L•• to C••••• I••••••••• S••••••• L••left Jan 29, 2007, registered Jan 23, 2007 (-6 days) · Other
- K•• S•• left G•• A•••• M••••••••• I••• for T••• E••••••• A•••• M••••••••• (registered 2025-01-01)Oct 24, 2023 · 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
- STATE REGISTEREDderived
- Years in industry
- 20derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address