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.
K••••••• M•••• C••••••••
- A••••••• F••••••••• L••• BD affiliated currentsince Dec 21, 2022 · Folsom, Ca
- L•• F•••••••• L•• BD affiliatedJul 1, 2004 to Dec 21, 2022 · Chico, Ca
- T••••••••• F•••••••• A•••••••• L•• BD affiliatedJul 16, 1998 to Jul 6, 2004 · Chico, Ca
- L•• F•••••••• L•• to A••••••• F••••••••• L•••left Dec 21, 2022, registered Dec 21, 2022 (0 days) · RIA to affiliated broker-dealer or bank · moved with a team
- T••••••••• F•••••••• A•••••••• L•• to L•• F•••••••• L••left Jul 6, 2004, registered Jul 1, 2004 (-5 days) · Other
- K••••••• M•••• C•••••••• left L•• F•••••••• L•• for A••••••• F••••••••• L••• (registered 2022-12-21)Dec 21, 2022 · Advisor changed firm · fact
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
- 34derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address