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.
W•••••• T••••• T••••
- O•••• W•••••• I••• BD affiliated currentsince Sep 1, 2023 · Montecito, Ca
- S•••••••• F••••••••• I••• formerJun 7, 2022 to Sep 1, 2023 · Newport Beach, Ca
- P••••• C••••••• L•• unclassifiedJan 22, 2019 to Aug 25, 2021 · Montecito, Ca
- P••••• C••••••• L•• unclassifiedJan 4, 2017 to Dec 31, 2018 · Montecito, Ca
- R•••••• J•••• • A••••••••• I••• national BDDec 2, 2014 to Feb 12, 2016 · Santa Barbara, Ca
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseSep 11, 2014 to Dec 2, 2014 · Oxnard, Ca
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseOct 1, 2012 to Oct 3, 2013 · Fort Worth, Tx
- S•••••••• F••••••••• I••• to O•••• W•••••• I•••left Sep 1, 2023, registered Sep 1, 2023 (0 days) · corporate re-registration, not a move
- P••••• C••••••• L•• to S•••••••• F••••••••• I•••left Aug 25, 2021, registered Jun 7, 2022 (286 days) · Other
- R•••••• J•••• • A••••••••• I••• to P••••• C••••••• L••left Feb 12, 2016, registered Jan 4, 2017 (327 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to R•••••• J•••• • A••••••••• I•••left Dec 2, 2014, registered Dec 2, 2014 (0 days) · Wirehouse to affiliated broker-dealer or bank
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
- 13derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address