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.
I•• B•••••• T••••••• B••••
- T••••••• I••••••••• M••••••••• I••• BD affiliated currentsince Mar 5, 2020 · Thousand Oaks, Ca
- J••• M••••• S••••••••• L•• wirehouseJul 12, 2018 to Jul 23, 2019 · W•••Lake Village, Ca
- W••• O•• C••••••• L•• formerAug 31, 2016 to Apr 18, 2018 · Eagle, Id
- J••• M••••• S••••••••• L•• to T••••••• I••••••••• M••••••••• I•••left Jul 23, 2019, registered Mar 5, 2020 (226 days) · Wirehouse to affiliated broker-dealer or bank
- W••• O•• C••••••• L•• to J••• M••••• S••••••••• L••left Apr 18, 2018, registered Jul 12, 2018 (85 days) · RIA to wirehouse
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
- 10derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address