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.
- Q•••••• state registered currentsince Apr 3, 2026 · Ojai, Ca
- G•••••• I•••••••• L•• unclassifiedJun 30, 2015 to Apr 26, 2021 · Ventura, Ca
- P•••• S••••••••• L•• no RAUMMar 18, 2014 to Apr 8, 2015 · Sherman Oaks, Ca
- T••••••••• F•••••••• A•••••••• L•• BD affiliatedOct 16, 2013 to Feb 25, 2014 · Agoura Hills, Ca
- T•• A•••• M••••••••• I••• formerJul 30, 2013 to Aug 31, 2013 · Ojai, Ca
- G•••••• I•••••••• L•• to Q••••••left Apr 26, 2021, registered Apr 3, 2026 (1803 days) · Other
- P•••• S••••••••• L•• to G•••••• I•••••••• L••left Apr 8, 2015, registered Jun 30, 2015 (83 days) · Other
- T••••••••• F•••••••• A•••••••• L•• to P•••• S••••••••• L••left Feb 25, 2014, registered Mar 18, 2014 (21 days) · Other
- T•• A•••• M••••••••• I••• to T••••••••• F•••••••• A•••••••• L••left Aug 31, 2013, registered Oct 16, 2013 (46 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
- STATE REGISTEREDderived
- Years in industry
- 13derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address