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.
D•••• N•••••••• J••••••
- P••••••• F•••••••• S•••••••• I••• BD affiliated currentsince Dec 7, 2020 · Buckeye, Az
- S••••• F•••••••• G•••• I•• formerAug 18, 2005 to Dec 15, 2020 · Fortuna, Ca
- L•• F•••••••• L•• BD affiliatedDec 31, 1997 to Jun 18, 2004 · Tucson, Az
- S••••• F•••••••• G•••• I•• to P••••••• F•••••••• S•••••••• I•••left Dec 15, 2020, registered Dec 7, 2020 (-8 days) · Affiliated broker-dealer or bank to independent RIA
- L•• F•••••••• L•• to S••••• F•••••••• G•••• I••left Jun 18, 2004, registered Aug 18, 2005 (426 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
- 35derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address