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.
J•••••••• T••••••••• M•••••
- O•••• W•••••• I••• BD affiliated currentsince Jan 19, 2024 · Visalia, Ca
- W••••••• F•••••••• S•••••••• I••• formerMar 1, 2019 to Jan 19, 2024 · Visalia, Ca
- Q•••••• A•••• M••••••••• I••• formerDec 23, 2016 to Mar 1, 2019 · Visalia, Ca
- H• B•••• I••• formerSep 12, 2011 to Dec 23, 2016 · West Covina, Ca
- W••••••• F•••••••• S•••••••• I••• formerDec 3, 2009 to Sep 13, 2011 · Visalia, Ca
- C•••••••• G••••• M•••••• I••• BD affiliatedMay 29, 2007 to Dec 17, 2009 · Porterville, Ca
- C••••••• I••••••••• S••••••• unclassifiedAug 22, 2006 to May 29, 2007 · Visalia, Ca
- L•• F•••••••• L•• BD affiliatedJul 27, 2006 to Aug 23, 2006 · Fresno, Ca
- C•••••••• M••••••••• G•••• formerDec 2, 2004 to Jul 31, 2006 · Los Angeles, Ca
- C•••••• S••••• • C••• I••• national BDJun 17, 2002 to Aug 18, 2004 · Visalia, Ca
- W••••••• F•••••••• S•••••••• I••• to O•••• W•••••• I•••left Jan 19, 2024, registered Jan 19, 2024 (0 days) · corporate re-registration, not a move
- Q•••••• A•••• M••••••••• I••• to W••••••• F•••••••• S•••••••• I•••left Mar 1, 2019, registered Mar 1, 2019 (0 days) · corporate re-registration, not a move
- H• B•••• I••• to Q•••••• A•••• M••••••••• I•••left Dec 23, 2016, registered Dec 23, 2016 (0 days) · Other · moved with a team
- W••••••• F•••••••• S•••••••• I••• to H• B•••• I•••left Sep 13, 2011, registered Sep 12, 2011 (-1 days) · Other
- C•••••••• G••••• M•••••• I••• to W••••••• F•••••••• S•••••••• I•••left Dec 17, 2009, registered Dec 3, 2009 (-14 days) · Other
- C••••••• I••••••••• S••••••• to C•••••••• G••••• M•••••• I•••left May 29, 2007, registered May 29, 2007 (0 days) · corporate re-registration, not a move
- L•• F•••••••• L•• to C••••••• I••••••••• S•••••••left Aug 23, 2006, registered Aug 22, 2006 (-1 days) · Other
- C•••••••• M••••••••• G•••• to L•• F•••••••• L••left Jul 31, 2006, registered Jul 27, 2006 (-4 days) · Other
- C•••••• S••••• • C••• I••• to C•••••••• M••••••••• G••••left Aug 18, 2004, registered Dec 2, 2004 (106 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
- 28derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address