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.
M•••••• S••••• G••••
- L•• F•••••••• L•• BD affiliated currentsince Jun 2, 2020 · Vacaville, Ca
- C••• F•••••••• S•••••••• L••• formerJan 5, 2016 to Jan 25, 2018 · Liberty Lake, Wa
- S••••••• P•••••• F••••••••• L•• formerJan 17, 2013 to Jan 8, 2016 · San Rafael, Ca
- C••• F•••••••• S•••••••• L••• formerMay 5, 2006 to Feb 1, 2013 · San Francisco, Ca
- I••• S••••••••• I••• unclassifiedJul 8, 2002 to Jan 20, 2005 · Oakland, Ca
- C••• F•••••••• S•••••••• L••• to L•• F•••••••• L••left Jan 25, 2018, registered Jun 2, 2020 (859 days) · Affiliated broker-dealer or bank to another
- S••••••• P•••••• F••••••••• L•• to C••• F•••••••• S•••••••• L•••left Jan 8, 2016, registered Jan 5, 2016 (-3 days) · Other
- C••• F•••••••• S•••••••• L••• to S••••••• P•••••• F••••••••• L••left Feb 1, 2013, registered Jan 17, 2013 (-15 days) · Other
- I••• S••••••••• I••• to C••• F•••••••• S•••••••• L•••left Jan 20, 2005, registered May 5, 2006 (470 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
- 34derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address