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.
K•••••• A••• C••••
- L•• F•••••••• L•• BD affiliated currentsince Sep 13, 2024 · Cool, Ca
- G••••• W••••• M••••••••• I••• BD affiliatedSep 24, 2004 to Sep 16, 2024 · Auburn, Ca
- B••••• • Y•••• A•••••••• I••• formerDec 21, 2001 to Sep 17, 2004 · Auburn, Ca
- G••••• W••••• M••••••••• I••• to L•• F•••••••• L••left Sep 16, 2024, registered Sep 13, 2024 (-3 days) · Affiliated broker-dealer or bank to another · moved with a team
- B••••• • Y•••• A•••••••• I••• to G••••• W••••• M••••••••• I•••left Sep 17, 2004, registered Sep 24, 2004 (7 days) · Other
- K•••••• A••• C•••• left G••••• W••••• M••••••••• I••• for L•• F•••••••• L•• (registered 2024-09-13)Sep 16, 2024 · 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 35derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address