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••••• A•••• M•••••••
- O•••• W•••••• I••• BD affiliated currentsince Oct 11, 2024 · Roseville, Ca
- A••••••• P••••••••• A•••••••• I•• formerJul 21, 2017 to Oct 11, 2024 · Holbrook, Ny
- W•••••• I••••••••• S••••••••• formerJan 2, 2015 to Jul 21, 2017 · Santa Rosa, Ca
- G•• A••••••• formerFeb 14, 2014 to Dec 31, 2014 · Roseville, Ca
- G•• A••••••• formerDec 23, 2013 to Dec 31, 2013 · Roseville, Ca
- G•• A••••••• formerJul 30, 2003 to Dec 13, 2013 · Sacramento, Ca
- A••••••• P••••••••• A•••••••• I•• to O•••• W•••••• I•••left Oct 11, 2024, registered Oct 11, 2024 (0 days) · corporate re-registration, not a move
- W•••••• I••••••••• S••••••••• to A••••••• P••••••••• A•••••••• I••left Jul 21, 2017, registered Jul 21, 2017 (0 days) · Other
- G•• A••••••• to W•••••• I••••••••• S•••••••••left Dec 31, 2014, registered Jan 2, 2015 (2 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
- 41derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address