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.
E••• V••••• G•••••••
- D••• D••••••• • C•• independent RIA currentsince Sep 19, 2019 · Roseville, Ca
- M••••• S•••••• wirehouseMay 1, 2013 to Sep 23, 2019 · Roseville, Ca
- R•• C•••••• M••••••• L•• national BDMay 1, 2002 to Mar 5, 2004 · Roseville, Ca
- W•••• F•••• A••••••• wirehouseFeb 26, 1999 to May 8, 2002 · Folsom, Ca
- M••••• S•••••• to D••• D••••••• • C••left Sep 23, 2019, registered Sep 19, 2019 (-4 days) · Wirehouse to independent RIA
- R•• C•••••• M••••••• L•• to M••••• S••••••left Mar 5, 2004, registered May 1, 2013 (3344 days) · Affiliated broker-dealer or bank to wirehouse
- W•••• F•••• A••••••• to R•• C•••••• M••••••• L••left May 8, 2002, registered May 1, 2002 (-7 days) · Wirehouse to affiliated broker-dealer or bank
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
- 32derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address