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.
G•••••••• G••••••••
- O•••• W•••••• I••• BD affiliated currentsince Nov 3, 2023 · Westlake Village, Ca
- F•• S••••••••• C••••••••• formerMar 23, 2022 to Nov 3, 2023 · Westlake Village, Ca
- O•• C•••••• M••••••••• L•• independent RIAAug 19, 2021 to Mar 1, 2022 · Westlake Village, Ca
- F•• S••••••••• C••••••••• to O•••• W•••••• I•••left Nov 3, 2023, registered Nov 3, 2023 (0 days) · corporate re-registration, not a move
- O•• C•••••• M••••••••• L•• to F•• S••••••••• C•••••••••left Mar 1, 2022, registered Mar 23, 2022 (22 days) · RIA to affiliated broker-dealer or bank
- G•••••••• G•••••••• left O•• C•••••• M••••••••• L•• for F•• S••••••••• C••••••••• (registered 2022-03-23)Mar 1, 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 20derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address