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.
B••••• A••••
- P••••••••• S••••••••• C••••••••• independent RIA currentsince May 13, 2024 · Carpinteria, Ca
- O•• C•••••• M••••••••• L•• independent RIAApr 4, 2022 to Jul 17, 2023 · Westlake Village, Ca
- M••••• G••••• A••••••• I••• independent RIAFeb 21, 2020 to May 5, 2022 · Sherman Oaks, Ca
- O•• C•••••• M••••••••• L•• to P••••••••• S••••••••• C•••••••••left Jul 17, 2023, registered May 13, 2024 (301 days) · RIA to RIA
- M••••• G••••• A••••••• I••• to O•• C•••••• M••••••••• L••left May 5, 2022, registered Apr 4, 2022 (-31 days) · RIA to RIA
- B••••• A•••• left O•• C•••••• M••••••••• L•• for P••••••••• S••••••••• C••••••••• (registered 2024-05-13)Jul 17, 2023 · Advisor changed firm · fact
- B••••• A•••• left M••••• G••••• A••••••• I••• for O•• C•••••• M••••••••• L•• (registered 2022-04-04)May 5, 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
- 10derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address