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••••• H••••• G••••••
- I••••••••• F•••••••• G••••• L•• BD affiliated currentsince Feb 28, 2018 · Fresno, Ca
- P•••••••• S••••••••• I••• BD affiliatedFeb 2, 2010 to Feb 9, 2018 · Fresno, Ca
- W•••••• S••••••••• I••• BD affiliatedJan 13, 2009 to Jan 14, 2010 · Portland, Or
- U•• F•••••••• S••••••• I••• wirehouseNov 14, 2003 to Jan 27, 2009 · Fresno, Ca
- C•••••••• G••••• M•••••• I••• BD affiliatedJun 13, 2000 to Dec 11, 2003 · Fresno, Ca
- P•••••••• S••••••••• I••• to I••••••••• F•••••••• G••••• L••left Feb 9, 2018, registered Feb 28, 2018 (19 days) · Other
- W•••••• S••••••••• I••• to P•••••••• S••••••••• I•••left Jan 14, 2010, registered Feb 2, 2010 (19 days) · Other
- U•• F•••••••• S••••••• I••• to W•••••• S••••••••• I•••left Jan 27, 2009, registered Jan 13, 2009 (-14 days) · Other
- C•••••••• G••••• M•••••• I••• to U•• F•••••••• S••••••• I•••left Dec 11, 2003, registered Nov 14, 2003 (-27 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
- 38derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address