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••••• C•••• R•••••
- O•••• W•••••• I••• BD affiliated currentsince Jan 24, 2025 · Sacramento, Ca
- O•••• F•• I••• formerMay 3, 2021 to Jan 24, 2025 · Sacramento, Ca
- A••••••• F•••••••• A•••••••• L•• BD affiliatedMay 14, 2019 to May 6, 2021 · Folsom, Ca
- O••••••••• S••••••••• I••• BD affiliatedJun 15, 2018 to May 21, 2019 · El Dorado Hills, Ca
- H•••••• T••••••• • K•••• L•• independent RIAMar 17, 2016 to Aug 25, 2016 · Irvine, Ca
- Q•••••• A•••• M••••••••• I••• formerMay 15, 2013 to Apr 16, 2014 · Minneapolis, Mn
- S••••••• F•••••••• S•••••••• I••• formerMar 10, 2010 to Dec 31, 2011 · Bellevue, Wa
- I••••••• S••••••••• I••• unclassifiedSep 15, 2009 to Dec 31, 2009 · El Dorado Hills, Ca
- O•••• F•• I••• to O•••• W•••••• I•••left Jan 24, 2025, registered Jan 24, 2025 (0 days) · corporate re-registration, not a move
- A••••••• F•••••••• A•••••••• L•• to O•••• F•• I•••left May 6, 2021, registered May 3, 2021 (-3 days) · Affiliated broker-dealer or bank to another
- O••••••••• S••••••••• I••• to A••••••• F•••••••• A•••••••• L••left May 21, 2019, registered May 14, 2019 (-7 days) · Affiliated broker-dealer or bank to another
- H•••••• T••••••• • K•••• L•• to O••••••••• S••••••••• I•••left Aug 25, 2016, registered Jun 15, 2018 (659 days) · Other
- Q•••••• A•••• M••••••••• I••• to H•••••• T••••••• • K•••• L••left Apr 16, 2014, registered Mar 17, 2016 (701 days) · Other
- S••••••• F•••••••• S•••••••• I••• to Q•••••• A•••• M••••••••• I•••left Dec 31, 2011, registered May 15, 2013 (501 days) · Other
- I••••••• S••••••••• I••• to S••••••• F•••••••• S•••••••• I•••left Dec 31, 2009, registered Mar 10, 2010 (69 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
- 29derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address