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.
M•••••• M••••• V•• L••••••
- W•••• I••••••••• A•••••••• L•• other currentsince Aug 4, 2015 · Lincroft, Nj
- I••••••••• F•••••••• P••••••• BD affiliatedMar 26, 2012 to Aug 3, 2015 · Santa Barbara, Ca
- W•••• F•••• A••••••• wirehouseJan 1, 2008 to Mar 26, 2012 · Oxnard, Ca
- A• G• E•••••• • S•••• I••• unclassifiedOct 20, 2006 to Jan 1, 2008 · Oxnard, Ca
- I••••••••• F•••••••• P••••••• to W•••• I••••••••• A•••••••• L••left Aug 3, 2015, registered Aug 4, 2015 (1 days) · Other · moved with a team
- W•••• F•••• A••••••• to I••••••••• F•••••••• P•••••••left Mar 26, 2012, registered Mar 26, 2012 (0 days) · Other
- A• G• E•••••• • S•••• I••• to W•••• F•••• A•••••••left Jan 1, 2008, registered Jan 1, 2008 (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
- Other adviserderived
- Years in industry
- 19derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address