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.
C•••••• P•••••••••
- C••••••••• I••••••••• A•••••••• L•• independent RIA currentsince Apr 11, 2023 · Tampa, Fl
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliatedJan 18, 2019 to Apr 21, 2023 · Fresno, Ca
- W•••• F•••• A••••••• wirehouseJun 17, 2013 to Jan 23, 2019 · Fresno, Ca
- J••• M••••• S••••••••• L•• wirehouseOct 1, 2012 to Jun 18, 2013 · Fresno, Ca
- C•••• I••••••••• S••••••• C•••• formerMay 2, 2009 to Oct 1, 2012 · Fresno, Ca
- W••• I••••••••• I••• unclassifiedFeb 22, 2006 to May 2, 2009 · Fresno, Ca
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• to C••••••••• I••••••••• A•••••••• L••left Apr 21, 2023, registered Apr 11, 2023 (-10 days) · Affiliated broker-dealer or bank to independent RIA · moved with a team
- W•••• F•••• A••••••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••left Jan 23, 2019, registered Jan 18, 2019 (-5 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
- J••• M••••• S••••••••• L•• to W•••• F•••• A•••••••left Jun 18, 2013, registered Jun 17, 2013 (-1 days) · Wirehouse to wirehouse
- C•••• I••••••••• S••••••• C•••• to J••• M••••• S••••••••• L••left Oct 1, 2012, registered Oct 1, 2012 (0 days) · corporate re-registration, not a move
- W••• I••••••••• I••• to C•••• I••••••••• S••••••• C••••left May 2, 2009, registered May 2, 2009 (0 days) · corporate re-registration, not a move
- C•••••• P••••••••• left R•••••• J•••• F•••••••• S••••••• A•••••••• I•• for C••••••••• I••••••••• A•••••••• L•• (registered 2023-04-11)Apr 21, 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
- Independent wealth managerderived
- Years in industry
- 34derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address