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.
H•••••• L•• N••••
- R•• W••••• B•••••••• I••• independent RIA currentsince Nov 29, 2018 · Bakersfield, Ca
- C••••• • A••••••••• I••• independent RIAFeb 6, 2014 to Feb 23, 2022 · Bakersfield, Ca
- S••••••••• A•••••• A•••••••• I••• formerMay 23, 2013 to Dec 23, 2013 · Bakersfield, Ca
- W•••• F•••• A••••••• wirehouseJan 3, 2011 to Apr 10, 2013 · Bakersfield, Ca
- W•••• F•••• I••••••••• L•• unclassifiedSep 5, 2006 to Jan 3, 2011 · Bakersfield, Ca
- M••••• S•••••• D• I••• unclassifiedJul 8, 1997 to Nov 25, 2002 · Bakersfield, Ca
- C••••• • A••••••••• I••• to R•• W••••• B•••••••• I•••left Feb 23, 2022, registered Nov 29, 2018 (-1182 days) · Other
- S••••••••• A•••••• A•••••••• I••• to C••••• • A••••••••• I•••left Dec 23, 2013, registered Feb 6, 2014 (45 days) · Other
- W•••• F•••• A••••••• to S••••••••• A•••••• A•••••••• I•••left Apr 10, 2013, registered May 23, 2013 (43 days) · Other
- W•••• F•••• I••••••••• L•• to W•••• F•••• A•••••••left Jan 3, 2011, registered Jan 3, 2011 (0 days) · corporate re-registration, not a move
- M••••• S•••••• D• I••• to W•••• F•••• I••••••••• L••left Nov 25, 2002, registered Sep 5, 2006 (1380 days) · Other
- H•••••• L•• N•••• left C••••• • A••••••••• I••• for R•• W••••• B•••••••• I••• (registered 2018-11-29)Feb 23, 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
- 38derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address