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••••• J•• W•••••
- R•••••••• I••••••••• L•• independent RIA currentsince Sep 3, 2015 · Folsom, Ca
- S••••••••• F•••••••• unclassifiedMar 23, 2009 to Dec 10, 2020 · Folsom, Ca
- M•• I•••••••• S•••••••• L•• BD affiliatedNov 9, 1999 to Dec 17, 2008 · Sacramento, Ca
- S••••••••• F•••••••• to R•••••••• I••••••••• L••left Dec 10, 2020, registered Sep 3, 2015 (-1925 days) · Other · moved with a team
- M•• I•••••••• S•••••••• L•• to S••••••••• F••••••••left Dec 17, 2008, registered Mar 23, 2009 (96 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