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.
R••• G•••••• W•••
- B••• F•••••••• S•••••••• L•• i••••••••• wealth currentsince Sep 29, 2022 · Oxnard, Ca
- I••••••••• F•••••••• G••••• L•• BD affiliatedFeb 8, 2022 to Sep 30, 2022 · Pleasant Hill, Ca
- U••• B•••••• A•••••••• L•• BD affiliatedAug 4, 2021 to Jan 24, 2022 · Ventura, Ca
- I••••••••• F•••••••• G••••• L•• to B••• F•••••••• S•••••••• L••left Sep 30, 2022, registered Sep 29, 2022 (-1 days) · Affiliated broker-dealer or bank to a newly registered adviser · moved with a team
- U••• B•••••• A•••••••• L•• to I••••••••• F•••••••• G••••• L••left Jan 24, 2022, registered Feb 8, 2022 (15 days) · Affiliated broker-dealer or bank to another
- R••• G•••••• W••• left I••••••••• F•••••••• G••••• L•• for B••• F•••••••• S•••••••• L•• (registered 2022-09-29)Sep 30, 2022 · Advisor changed firm · fact
- R••• G•••••• W••• left U••• B•••••• A•••••••• L•• for I••••••••• F•••••••• G••••• L•• (registered 2022-02-08)Jan 24, 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
- 13derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address