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.
E••• F•••••• C•••
- C••••••••• F•••••••• N•••••• national BD currentsince Mar 22, 2023 · Scottsdale, Az
- C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliatedOct 19, 2009 to Apr 7, 2023 · Fair Oaks, Ca
- W••••••• F•••••••• S•••••••• I••• formerMar 24, 2009 to Oct 20, 2009 · Fair Oaks, Ca
- F•••••••• W••• G•••• formerSep 30, 2008 to Mar 23, 2009 · Fair Oaks, Ca
- F•• S••••••••• C••••••••• formerJun 11, 2007 to Jan 28, 2008 · Fair Oaks, Ca
- V•••• F•••••••• A•••••••• I••• BD affiliatedJul 12, 2001 to Jun 5, 2007 · Las Vegas, Nv
- C•••••••• I••••••••• R••••••• A•••••••• I••• to C••••••••• F•••••••• N••••••left Apr 7, 2023, registered Mar 22, 2023 (-16 days) · Affiliated broker-dealer or bank to another
- W••••••• F•••••••• S•••••••• I••• to C•••••••• I••••••••• R••••••• A•••••••• I•••left Oct 20, 2009, registered Oct 19, 2009 (-1 days) · Other
- F•••••••• W••• G•••• to W••••••• F•••••••• S•••••••• I•••left Mar 23, 2009, registered Mar 24, 2009 (1 days) · Other
- F•• S••••••••• C••••••••• to F•••••••• W••• G••••left Jan 28, 2008, registered Sep 30, 2008 (246 days) · Other
- V•••• F•••••••• A•••••••• I••• to F•• S••••••••• C•••••••••left Jun 5, 2007, registered Jun 11, 2007 (6 days) · Other
- E••• F•••••• C••• left C•••••••• I••••••••• R••••••• A•••••••• I••• for C••••••••• F•••••••• N•••••• (registered 2023-03-22)Apr 7, 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
- National broker-dealer RIAderived
- Years in industry
- 29derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address