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.
C•••• S•••••• M•••••••
- L•• F•••••••• L•• BD affiliated currentsince May 15, 2025 · Bakersfield, Ca
- C••• F•••••••• S•••••••• L••• formerDec 4, 2017 to May 15, 2025 · Bakersfield, Ca
- I••••• F•••••••• C••••••••• formerOct 17, 2014 to Dec 4, 2017 · Bakersfield, Ca
- U••• B•••••• A•••••••• L•• BD affiliatedFeb 19, 2013 to Oct 14, 2014 · Bakersfield, Ca
- B••••••• I••••••••• S•••••••• I••• ••••• formerAug 18, 2011 to Feb 11, 2013 · Bakersfield, Ca
- C•••• I••••••••• S••••••• C•••• formerJun 22, 2010 to Aug 18, 2011 · Bakersfield, Ca
- C••• F•••••••• S•••••••• L••• formerMay 15, 2006 to Nov 3, 2008 · Bakersfield, Ca
- C••• F•••••••• S•••••••• L••• to L•• F•••••••• L••left May 15, 2025, registered May 15, 2025 (0 days) · corporate re-registration, not a move
- I••••• F•••••••• C••••••••• to C••• F•••••••• S•••••••• L•••left Dec 4, 2017, registered Dec 4, 2017 (0 days) · Other
- U••• B•••••• A•••••••• L•• to I••••• F•••••••• C•••••••••left Oct 14, 2014, registered Oct 17, 2014 (3 days) · Other
- B••••••• I••••••••• S•••••••• I••• ••••• to U••• B•••••• A•••••••• L••left Feb 11, 2013, registered Feb 19, 2013 (8 days) · Other
- C•••• I••••••••• S••••••• C•••• to B••••••• I••••••••• S•••••••• I••• •••••left Aug 18, 2011, registered Aug 18, 2011 (0 days) · Other
- C••• F•••••••• S•••••••• L••• to C•••• I••••••••• S••••••• C••••left Nov 3, 2008, registered Jun 22, 2010 (596 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
- 37derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address