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.
A•••• C••••••
- J••• M••••• S••••••••• L•• wirehouse currentsince Apr 20, 2022 · Santa Barbara, Ca
- W•••• F•••• A••••••• wirehouseOct 12, 2020 to Apr 21, 2022 · Santa Barbara, Ca
- W•••• F•••• A••••••• to J••• M••••• S••••••••• L••left Apr 21, 2022, registered Apr 20, 2022 (-1 days) · Wirehouse to wirehouse · moved with a team
- A•••• C•••••• added a TX registration at J••• M••••• S••••••••• L••Sep 17, 2026 · New state registration · fact
- A•••• C•••••• left W•••• F•••• A••••••• for J••• M••••• S••••••••• L•• (registered 2022-04-20)Apr 21, 2022 · 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
- Wirehousederived
- Years in industry
- 16derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address