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•••••• S•••• T•••••
- R•••••• J•••• • A••••••••• I••• national BD currentsince Mar 24, 2023 · Brea, Ca
- W•••••• S••••••••• I••• BD affiliatedOct 6, 2014 to Apr 12, 2023 · Boise, Id
- S••••••• W••••• M••••••••• L•• independent RIAMar 25, 2011 to Oct 7, 2014 · Walnut Creek, Ca
- M••••• S•••••• • C•• L•• unclassifiedApr 2, 2007 to Mar 13, 2008 · Boise, Id
- M••••• S•••••• D• I••• unclassifiedAug 24, 1998 to Apr 2, 2007 · Boise, Id
- W•••••• S••••••••• I••• to R•••••• J•••• • A••••••••• I•••left Apr 12, 2023, registered Mar 24, 2023 (-19 days) · Affiliated broker-dealer or bank to another
- S••••••• W••••• M••••••••• L•• to W•••••• S••••••••• I•••left Oct 7, 2014, registered Oct 6, 2014 (-1 days) · Other
- M••••• S•••••• • C•• L•• to S••••••• W••••• M••••••••• L••left Mar 13, 2008, registered Mar 25, 2011 (1107 days) · Other
- M••••• S•••••• D• I••• to M••••• S•••••• • C•• L••left Apr 2, 2007, registered Apr 2, 2007 (0 days) · corporate re-registration, not a move
- J•••••• S•••• T••••• left W•••••• S••••••••• I••• for R•••••• J•••• • A••••••••• I••• (registered 2023-03-24)Apr 12, 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
- 28derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address