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•••• E••••• M••••••
- C••••• I••••••••• A••••••• L•• BD affiliated currentsince Aug 10, 2023 · Newport Beach, Ca
- S••••••• F•••••••• S•••••••• I••• formerJan 12, 2009 to Aug 10, 2023 · Newport Beach, Ca
- W••••••• F•••••••• S•••••••• I••• formerAug 27, 2007 to Dec 23, 2008 · Thousand Oaks, Ca
- C••••••••• A•••••••• I•• formerMar 10, 2006 to Aug 27, 2007 · Woodland Hills, Ca
- O•••• F•• I••• formerAug 26, 1999 to Nov 17, 2005 · Westlake Village, Ca
- S••••••• F•••••••• S•••••••• I••• to C••••• I••••••••• A••••••• L••left Aug 10, 2023, registered Aug 10, 2023 (0 days) · corporate re-registration, not a move
- W••••••• F•••••••• S•••••••• I••• to S••••••• F•••••••• S•••••••• I•••left Dec 23, 2008, registered Jan 12, 2009 (20 days) · Other
- C••••••••• A•••••••• I•• to W••••••• F•••••••• S•••••••• I•••left Aug 27, 2007, registered Aug 27, 2007 (0 days) · Other
- O•••• F•• I••• to C••••••••• A•••••••• I••left Nov 17, 2005, registered Mar 10, 2006 (113 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 37derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address