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.
P•••••• R•••
- J••• M••••• S••••••••• L•• wirehouse currentsince Mar 12, 2024 · Camarillo, Ca
- J••• M••••• P•••••• W••••• A••••••• L•• formerFeb 20, 2018 to Mar 20, 2025 · Santa Barbara, Ca
- O•• T• O••• L•• formerMar 7, 2017 to Feb 9, 2018 · Maumee, Oh
- T•• W••••• P••••••• independent RIAMar 15, 2016 to Feb 9, 2018 · Maumee, Oh
- J••• M••••• P•••••• W••••• A••••••• L•• to J••• M••••• S••••••••• L••left Mar 20, 2025, registered Mar 12, 2024 (-373 days) · corporate re-registration, not a move
- T•• W••••• P••••••• to O•• T• O••• L••left Feb 9, 2018, registered Mar 7, 2017 (-339 days) · Other
- O•• T• O••• L•• to J••• M••••• P•••••• W••••• A••••••• L••left Feb 9, 2018, registered Feb 20, 2018 (11 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
- Wirehousederived
- Years in industry
- 11derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address