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•••• L•• H••••••••
- C••••••• institutional currentsince Mar 1, 2021 · Jonesborough, Tn
- W•••• F•••• A••••••• wirehouseFeb 13, 2015 to Mar 5, 2021 · Folsom, Ca
- M•• A••••••• F•••••••• M••••••••• I••• formerMay 4, 2004 to Feb 13, 2015 · Lodi, Ca
- F•• A•••••••• I••• asset managerJun 18, 2001 to May 4, 2004 · Stockton, Ca
- W•••• F•••• A••••••• to C•••••••left Mar 5, 2021, registered Mar 1, 2021 (-4 days) · Other · moved with a team
- M•• A••••••• F•••••••• M••••••••• I••• to W•••• F•••• A•••••••left Feb 13, 2015, registered Feb 13, 2015 (0 days) · Other
- F•• A•••••••• I••• to M•• A••••••• F•••••••• M••••••••• I•••left May 4, 2004, registered May 4, 2004 (0 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
- Institutional managerderived
- Years in industry
- 34derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address