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•••• G••••
- W••••• E••••••••• A••••••• S•••••••• L•• BD affiliated currentsince Aug 4, 2022 · Plymouth, Mn
- T•••• W••••• M••••••••• formerSep 13, 2016 to Sep 1, 2022 · Folsom, Ca
- L•• F•••••••• L•• BD affiliatedDec 31, 1997 to Dec 21, 2017 · Folsom, Ca
- T•••• W••••• M••••••••• to W••••• E••••••••• A••••••• S•••••••• L••left Sep 1, 2022, registered Aug 4, 2022 (-28 days) · RIA to affiliated broker-dealer or bank · moved with a team
- L•• F•••••••• L•• to T•••• W••••• M•••••••••left Dec 21, 2017, registered Sep 13, 2016 (-464 days) · Other · moved with a team
- D•••• G•••• left T•••• W••••• M••••••••• for W••••• E••••••••• A••••••• S•••••••• L•• (registered 2022-08-04)Sep 1, 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
- 33derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address