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.
M•••••• C•••••• H••••••
- A••••••• A••••••• S•••••••• L•• BD affiliated currentsince Feb 1, 2024 · Folsom, Ca
- C•••••••• F••••••••• I••• BD affiliatedMar 21, 2022 to Dec 15, 2023 · Roseville, Ca
- C•••••••• F••••••••• I••• BD affiliatedFeb 23, 2011 to Aug 18, 2021 · Anaheim, Ca
- Q•• F•••••••• L•• unclassifiedNov 6, 2008 to Feb 11, 2011 · Omaha, Ne
- S••••••• F•••••••• S•••••••• I••• formerJun 8, 2007 to Oct 31, 2008 · San Mateo, Ca
- S••••• F•••••••• S•••••••• I••• formerMar 7, 2006 to May 2, 2007 · Loomis, Ca
- P•••••••• S••••••••• I••• BD affiliatedAug 20, 2004 to Mar 3, 2006 · Roseville, Ca
- E•••• S••••••••• L•• BD affiliatedMay 22, 2003 to Mar 26, 2004 · Roseville, Ca
- P•••••••• S••••••••• I••• BD affiliatedMay 8, 2001 to Dec 3, 2002 · Roseville, Ca
- C•••••••• F••••••••• I••• to A••••••• A••••••• S•••••••• L••left Dec 15, 2023, registered Feb 1, 2024 (48 days) · Affiliated broker-dealer or bank to another
- Q•• F•••••••• L•• to C•••••••• F••••••••• I•••left Feb 11, 2011, registered Feb 23, 2011 (12 days) · Other
- S••••••• F•••••••• S•••••••• I••• to Q•• F•••••••• L••left Oct 31, 2008, registered Nov 6, 2008 (6 days) · Other
- S••••• F•••••••• S•••••••• I••• to S••••••• F•••••••• S•••••••• I•••left May 2, 2007, registered Jun 8, 2007 (37 days) · Other
- P•••••••• S••••••••• I••• to S••••• F•••••••• S•••••••• I•••left Mar 3, 2006, registered Mar 7, 2006 (4 days) · Other
- E•••• S••••••••• L•• to P•••••••• S••••••••• I•••left Mar 26, 2004, registered Aug 20, 2004 (147 days) · Other
- P•••••••• S••••••••• I••• to E•••• S••••••••• L••left Dec 3, 2002, registered May 22, 2003 (170 days) · Other
- M•••••• C•••••• H•••••• left C•••••••• F••••••••• I••• for A••••••• A••••••• S•••••••• L•• (registered 2024-02-01)Dec 15, 2023 · 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
- 46derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address