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.
T••••• M•••••• W•••
- D•• W••••• M••••••••• I••• independent RIA currentsince Jun 24, 2022 · Stockton, Ca
- L••••• G•••••• W••••• M••••••••• L•• formerJan 29, 2019 to Jun 30, 2022 · Paris
- W••• F•••••••• S•••••••• I••• formerJul 24, 2007 to Jan 16, 2019 · Stockton, Ca
- B••••• • C••••••• L•• unclassifiedJul 8, 1997 to Oct 30, 2007 · Stockton, Ca
- L••••• G•••••• W••••• M••••••••• L•• to D•• W••••• M••••••••• I•••left Jun 30, 2022, registered Jun 24, 2022 (-6 days) · RIA to RIA
- W••• F•••••••• S•••••••• I••• to L••••• G•••••• W••••• M••••••••• L••left Jan 16, 2019, registered Jan 29, 2019 (13 days) · Other
- B••••• • C••••••• L•• to W••• F•••••••• S•••••••• I•••left Oct 30, 2007, registered Jul 24, 2007 (-98 days) · Other
- T••••• M•••••• W••• left L••••• G•••••• W••••• M••••••••• L•• for D•• W••••• M••••••••• I••• (registered 2022-06-24)Jun 30, 2022 · 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
- 29derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address