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•••••• G•••••• B•••••••••
- S•••••• W••••• A••••••• L•• independent RIA currentsince Jan 24, 2019 · Roseville, Ca
- E•••••• F•••••••• E•••••• independent RIANov 30, 2016 to Feb 12, 2019 · Roseville, Ca
- F•••••••• E•••••• A•••••• C•••••• L•• formerApr 24, 2015 to Nov 30, 2016 · Roseville, Ca
- T•• M••••• F••• S•••• formerMay 21, 2008 to May 15, 2015 · Roseville, Ca
- E•••••• A••••••• S•••••••• I••• unclassifiedOct 29, 2002 to Sep 22, 2003 · Rancho Cordova, Ca
- E•••••• F•••••••• E•••••• to S•••••• W••••• A••••••• L••left Feb 12, 2019, registered Jan 24, 2019 (-19 days) · RIA to RIA
- F•••••••• E•••••• A•••••• C•••••• L•• to E•••••• F•••••••• E••••••left Nov 30, 2016, registered Nov 30, 2016 (0 days) · corporate re-registration, not a move
- T•• M••••• F••• S•••• to F•••••••• E•••••• A•••••• C•••••• L••left May 15, 2015, registered Apr 24, 2015 (-21 days) · Other · moved with a team
- E•••••• A••••••• S•••••••• I••• to T•• M••••• F••• S••••left Sep 22, 2003, registered May 21, 2008 (1703 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
- Independent wealth managerderived
- Years in industry
- 33derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address