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.
R•••• F•••••
- C•••••• S••••• • C••• I••• national BD currentsince Jun 29, 2020 · Folsom, Ca
- M•••• C•••••• M••••••••• I••• formerNov 7, 2017 to Jun 3, 2020 · Rancho Cordova, Ca
- S•••••••• I••••••••• M••••••••• formerMay 31, 2017 to Nov 7, 2017 · Saint Louis, Mo
- C••••• A•••••• N••••••• L•• formerJun 27, 2006 to Sep 23, 2011 · Roseville, Ca
- M•••• C•••••• M••••••••• I••• to C•••••• S••••• • C••• I•••left Jun 3, 2020, registered Jun 29, 2020 (26 days) · Other
- S•••••••• I••••••••• M••••••••• to M•••• C•••••• M••••••••• I•••left Nov 7, 2017, registered Nov 7, 2017 (0 days) · Other
- C••••• A•••••• N••••••• L•• to S•••••••• I••••••••• M•••••••••left Sep 23, 2011, registered May 31, 2017 (2077 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
- National broker-dealer RIAderived
- Years in industry
- 29derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address