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.
R••• M••••••
- N•••••• A••••••• BD affiliated currentsince Nov 1, 2021 · Bakersfield, Ca
- M•• A••••••• F•••••••• M••••••••• I••• formerMar 15, 2013 to Nov 1, 2021 · Bakersfield, Ca
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseAug 17, 2010 to Mar 19, 2013 · Bakersfield, Ca
- N•• A•••••••• I••• unclassifiedJul 22, 2008 to Mar 5, 2010 · Bakersfield, Ca
- M•• A••••••• F•••••••• M••••••••• I••• to N•••••• A•••••••left Nov 1, 2021, registered Nov 1, 2021 (0 days) · corporate re-registration, not a move
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to M•• A••••••• F•••••••• M••••••••• I•••left Mar 19, 2013, registered Mar 15, 2013 (-4 days) · Other
- N•• A•••••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Mar 5, 2010, registered Aug 17, 2010 (165 days) · Other
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
- 30derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address