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.
D•••• P••• Y••••••
- L•• F•••••••• L•• BD affiliated currentsince Jan 31, 2023 · Fresno, Ca
- C••••• A•••••• N••••••• L•• formerMar 11, 2004 to Feb 9, 2023 · Fresno, Ca
- P•••••• F••••••••• I••• formerJul 8, 1997 to Feb 10, 2004 · Pleasant Hill, Ca
- C••••• A•••••• N••••••• L•• to L•• F•••••••• L••left Feb 9, 2023, registered Jan 31, 2023 (-9 days) · Affiliated broker-dealer or bank to independent RIA · moved with a team
- P•••••• F••••••••• I••• to C••••• A•••••• N••••••• L••left Feb 10, 2004, registered Mar 11, 2004 (30 days) · Other
- D•••• P••• Y•••••• left C••••• A•••••• N••••••• L•• for L•• F•••••••• L•• (registered 2023-01-31)Feb 9, 2023 · a•••••• firm change · 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
- 36derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address