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.
G••••••• C••••• A•••
- O•••• W•••••• I••• BD affiliated currentsince Jan 19, 2024 · Novato, Ca
- W••••••• F•••••••• S•••••••• I••• formerDec 15, 2021 to Jan 19, 2024 · Novato, Ca
- C••••• A••••••• L•• formerJan 16, 2014 to Dec 20, 2021 · Petaluma, Ca
- L•• F•••••••• L•• BD affiliatedJan 28, 1999 to Jan 21, 2014 · Petaluma, Ca
- W••••••• F•••••••• S•••••••• I••• to O•••• W•••••• I•••left Jan 19, 2024, registered Jan 19, 2024 (0 days) · corporate re-registration, not a move
- C••••• A••••••• L•• to W••••••• F•••••••• S•••••••• I•••left Dec 20, 2021, registered Dec 15, 2021 (-5 days) · Affiliated broker-dealer or bank to another
- L•• F•••••••• L•• to C••••• A••••••• L••left Jan 21, 2014, registered Jan 16, 2014 (-5 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