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.
S••••• J•• J••••
- P•••••••• F•••••••• S••••••• independent RIA currentsince Jan 30, 2023 · Fresno, Ca
- F••• F•••••••• G•••• formerOct 4, 2018 to May 12, 2023 · Fresno, Ca
- W•••• F•••• A••••••• wirehouseJul 1, 2003 to Oct 9, 2018 · Fresno, Ca
- P••••••••• E••••• G••••• L•• unclassifiedJul 8, 1997 to Jul 1, 2003 · Fresno, Ca
- F••• F•••••••• G•••• to P•••••••• F•••••••• S•••••••left May 12, 2023, registered Jan 30, 2023 (-102 days) · RIA to RIA · moved with a team
- W•••• F•••• A••••••• to F••• F•••••••• G••••left Oct 9, 2018, registered Oct 4, 2018 (-5 days) · Wirehouse to independent RIA
- P••••••••• E••••• G••••• L•• to W•••• F•••• A•••••••left Jul 1, 2003, registered Jul 1, 2003 (0 days) · corporate re-registration, not a move
- S••••• J•• J•••• left F••• F•••••••• G•••• for P•••••••• F•••••••• S••••••• (registered 2023-01-30)May 12, 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
- 37derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address