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.
L•••••• D•••••••• R••••
- M••••• G••••• A••••••• I••• independent RIA currentsince Jul 28, 2022 · Woodland Hills, Ca
- P•••••• W••••• A••••••• G•••• formerJun 1, 2021 to Aug 12, 2022 · North Hollywood, Ca
- T••••••••• F•••••••• A•••••••• L•• BD affiliatedFeb 8, 2013 to Dec 13, 2013 · Moorpark, Ca
- T••••••••• F•••••••• A•••••••• L•• BD affiliatedApr 26, 2012 to Oct 12, 2012 · Moorpark, Ca
- P•••••• W••••• A••••••• G•••• to M••••• G••••• A••••••• I•••left Aug 12, 2022, registered Jul 28, 2022 (-15 days) · RIA to RIA
- T••••••••• F•••••••• A•••••••• L•• to P•••••• W••••• A••••••• G••••left Dec 13, 2013, registered Jun 1, 2021 (2727 days) · Other
- L•••••• D•••••••• R•••• left P•••••• W••••• A••••••• G•••• for M••••• G••••• A••••••• I••• (registered 2022-07-28)Aug 12, 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
- Independent wealth managerderived
- Years in industry
- 15derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address