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.
J•• C•••••• H••••••••
- L•• F•••••••• L•• BD affiliated currentsince Feb 11, 2019 · Roseville, Ca
- O•••• F•• I••• formerFeb 13, 2014 to Feb 13, 2019 · Roseville, Ca
- S••••••• I••••••••• I••• formerOct 9, 2002 to Jun 10, 2003 · Sacramento, Ca
- O•••• F•• I••• to L•• F•••••••• L••left Feb 13, 2019, registered Feb 11, 2019 (-2 days) · Affiliated broker-dealer or bank to independent RIA
- S••••••• I••••••••• I••• to O•••• F•• I•••left Jun 10, 2003, registered Feb 13, 2014 (3901 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
- 26derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address