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••••• W•••• T•••••
- M••••••• P••••••• S••••••••• L•• state registered currentsince Jul 10, 2013 · Brea, Ca
- S••••••••• F••••••••• I••• unclassifiedFeb 27, 2007 to Jun 23, 2011 · Fresno, Ca
- P•••••••• S••••••••• I••• BD affiliatedFeb 28, 2000 to Oct 19, 2005 · Fresno, Ca
- S••••••••• F••••••••• I••• to M••••••• P••••••• S••••••••• L••left Jun 23, 2011, registered Jul 10, 2013 (748 days) · Other
- P•••••••• S••••••••• I••• to S••••••••• F••••••••• I•••left Oct 19, 2005, registered Feb 27, 2007 (496 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
- STATE REGISTEREDderived
- Years in industry
- 36derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address