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.
C•••• G••••• J••••••
- L•• F•••••••• L•• BD affiliated currentsince Jun 5, 2025 · Westlake Village, Ca
- W•••••• I••••••••• S••••••••• formerMar 16, 2015 to Jun 5, 2025 · Santa Barbara, Ca
- J••• M••••• S••••••••• L•• wirehouseOct 1, 2012 to Mar 27, 2015 · Santa Barbara, Ca
- C•••• I••••••••• S••••••• C•••• formerMay 2, 2009 to Oct 1, 2012 · Santa Barbara, Ca
- W••• I••••••••• I••• unclassifiedFeb 22, 2006 to May 2, 2009 · Goleta, Ca
- W•••••• I••••••••• S••••••••• to L•• F•••••••• L••left Jun 5, 2025, registered Jun 5, 2025 (0 days) · corporate re-registration, not a move
- J••• M••••• S••••••••• L•• to W•••••• I••••••••• S•••••••••left Mar 27, 2015, registered Mar 16, 2015 (-11 days) · Other
- C•••• I••••••••• S••••••• C•••• to J••• M••••• S••••••••• L••left Oct 1, 2012, registered Oct 1, 2012 (0 days) · corporate re-registration, not a move
- W••• I••••••••• I••• to C•••• I••••••••• S••••••• C••••left May 2, 2009, registered May 2, 2009 (0 days) · corporate re-registration, not a move
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
- 45derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address