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.
S••••• M•••••• B•••••
- O•••• W•••••• I••• BD affiliated currentsince Nov 3, 2023 · Westlake Village, Ca
- F•• S••••••••• C••••••••• formerMay 6, 2022 to Nov 3, 2023 · Westlake Village, Ca
- F••••••• P••••••• A•• W•••••••• A••••••• formerJul 13, 2018 to May 24, 2022 · Boston, Ma
- S•••••••• A••••••• L•• national BDFeb 7, 2012 to Jul 13, 2018 · Thousand Oaks, Ca
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseDec 7, 2009 to Jan 13, 2012 · Woodland Hills, Ca
- F•• S••••••••• C••••••••• to O•••• W•••••• I•••left Nov 3, 2023, registered Nov 3, 2023 (0 days) · corporate re-registration, not a move
- F••••••• P••••••• A•• W•••••••• A••••••• to F•• S••••••••• C•••••••••left May 24, 2022, registered May 6, 2022 (-18 days) · Affiliated broker-dealer or bank to another
- S•••••••• A••••••• L•• to F••••••• P••••••• A•• W•••••••• A•••••••left Jul 13, 2018, registered Jul 13, 2018 (0 days) · corporate re-registration, not a move
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to S•••••••• A••••••• L••left Jan 13, 2012, registered Feb 7, 2012 (25 days) · Wirehouse to affiliated broker-dealer or bank
- S••••• M•••••• B••••• left F••••••• P••••••• A•• W•••••••• A••••••• for F•• S••••••••• C••••••••• (registered 2022-05-06)May 24, 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 16derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address