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.
J••••••• M••••• J••••• B••••••
- L••••• W••••• P•••••••• L•• state registered currentsince Jul 27, 2018 · Santa Barbara, Ca
- B••••••••• W••••• P•••••••• L•• independent RIAApr 18, 2012 to Oct 1, 2018 · Camarillo, Ca
- K•••• F•••••••• A••••••• unclassifiedSep 26, 2011 to Apr 30, 2012 · Camarillo, Ca
- S••••••••• W••••• P••••••• unclassifiedApr 5, 2011 to Dec 25, 2011 · Carpinteria, Ca
- W•••••• F•••••••• A•••••••• L•• formerMar 5, 2007 to Sep 28, 2011 · Goleta, Ca
- B••••••••• W••••• P•••••••• L•• to L••••• W••••• P•••••••• L••left Oct 1, 2018, registered Jul 27, 2018 (-66 days) · RIA to a state-registered adviser
- K•••• F•••••••• A••••••• to B••••••••• W••••• P•••••••• L••left Apr 30, 2012, registered Apr 18, 2012 (-12 days) · Other
- S••••••••• W••••• P••••••• to K•••• F•••••••• A•••••••left Dec 25, 2011, registered Sep 26, 2011 (-90 days) · Other
- W•••••• F•••••••• A•••••••• L•• to S••••••••• W••••• P•••••••left Sep 28, 2011, registered Apr 5, 2011 (-176 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
- 20derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address