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.
M•••••• M•••••• S••••••
- S•••••••• A••••••• L•• national BD currentsince Mar 31, 2025 · West Sacramento, Ca
- F••••••• P••••••• A•• W•••••••• A••••••• formerJul 12, 2022 to Mar 31, 2025 · West Sacramento, Ca
- T••••••••• R••••••••• A•••••••• L•• BD affiliatedJul 2, 2019 to Apr 12, 2022 · West Sacramento, Ca
- L•• F•••••••• I••• formerJun 17, 2016 to Jan 4, 2019 · Sacramento, Ca
- A••••• F•••••••• A•••••••• L•• independent RIAJan 4, 2013 to Jun 3, 2016 · Charlotte, Nc
- A••••• F•••••••• S••••••••• L•• unclassifiedJul 30, 2008 to May 24, 2011 · Charlotte, Nc
- F••••••• P••••••• A•• W•••••••• A••••••• to S•••••••• A••••••• L••left Mar 31, 2025, registered Mar 31, 2025 (0 days) · corporate re-registration, not a move
- T••••••••• R••••••••• A•••••••• L•• to F••••••• P••••••• A•• W•••••••• A•••••••left Apr 12, 2022, registered Jul 12, 2022 (91 days) · Affiliated broker-dealer or bank to another
- L•• F•••••••• I••• to T••••••••• R••••••••• A•••••••• L••left Jan 4, 2019, registered Jul 2, 2019 (179 days) · Affiliated broker-dealer or bank to another
- A••••• F•••••••• A•••••••• L•• to L•• F•••••••• I•••left Jun 3, 2016, registered Jun 17, 2016 (14 days) · Other
- A••••• F•••••••• S••••••••• L•• to A••••• F•••••••• A•••••••• L••left May 24, 2011, registered Jan 4, 2013 (591 days) · Other
- M•••••• M•••••• S•••••• left T••••••••• R••••••••• A•••••••• L•• for F••••••• P••••••• A•• W•••••••• A••••••• (registered 2022-07-12)Apr 12, 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
- National broker-dealer RIAderived
- Years in industry
- 20derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address