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.
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- M••••••• I••••••••• N•••••• I••• BD affiliated currentsince Oct 27, 2020 · Dallas, Tx
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliatedOct 2, 2017 to Aug 18, 2020 · Chico, Ca
- C••• L•• BD affiliatedMar 31, 2016 to Sep 25, 2017 · Napa, Ca
- S•••••••• W••••• A••••••• G•••• formerJun 1, 2015 to Mar 31, 2016 · Napa, Ca
- C•••••••• G••••• M•••••• I••• BD affiliatedMay 25, 2007 to Jun 22, 2015 · Citrus Heights, Ca
- B••• O• A•••••• I••••••••• S•••••••• I••• unclassifiedOct 3, 2002 to May 20, 2004 · Napa, Ca
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• to M••••••• I••••••••• N•••••• I•••left Aug 18, 2020, registered Oct 27, 2020 (70 days) · Affiliated broker-dealer or bank to another
- C••• L•• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••left Sep 25, 2017, registered Oct 2, 2017 (7 days) · Other
- S•••••••• W••••• A••••••• G•••• to C••• L••left Mar 31, 2016, registered Mar 31, 2016 (0 days) · Other · moved with a team
- C•••••••• G••••• M•••••• I••• to S•••••••• W••••• A••••••• G••••left Jun 22, 2015, registered Jun 1, 2015 (-21 days) · Other
- B••• O• A•••••• I••••••••• S•••••••• I••• to C•••••••• G••••• M•••••• I•••left May 20, 2004, registered May 25, 2007 (1100 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
- 31derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address