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.
P•••• F•••••••• M••••••••
- 4••• E•••••••• I••• state registered currentsince Jan 1, 2026 · Tracy, Ca
- 4••• E•••••••• I••• state registeredJun 5, 2020 to Dec 31, 2024 · Tracy, Ca
- C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliatedSep 8, 2015 to Sep 2, 2020 · Roseville, Ca
- P••• A••••• S••••••••• L•• BD affiliatedMay 19, 2014 to Sep 11, 2015 · Roseville, Ca
- A• G• E•••••• • S•••• I••• unclassifiedMar 29, 2001 to Apr 16, 2004 · Sacramento, Ca
- C•••••••• I••••••••• R••••••• A•••••••• I••• to 4••• E•••••••• I•••left Sep 2, 2020, registered Jun 5, 2020 (-89 days) · Affiliated broker-dealer or bank to a state-registered adviser
- P••• A••••• S••••••••• L•• to C•••••••• I••••••••• R••••••• A•••••••• I•••left Sep 11, 2015, registered Sep 8, 2015 (-3 days) · Other
- A• G• E•••••• • S•••• I••• to P••• A••••• S••••••••• L••left Apr 16, 2004, registered May 19, 2014 (3685 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
- 35derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address