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.
P••••• G• M•••••••••
- L•• F•••••••• L•• BD affiliated currentsince May 1, 2025 · Hughson, Ca
- S•• I••••••••• A•••••••• I••• formerDec 11, 2018 to May 1, 2025 · Hughson, Ca
- I••••••• W••••• M••••••••• independent RIAJul 16, 2015 to Dec 7, 2018 · Turlock, Ca
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseDec 18, 2002 to Mar 30, 2015 · Modesto, Ca
- S•• I••••••••• A•••••••• I••• to L•• F•••••••• L••left May 1, 2025, registered May 1, 2025 (0 days) · corporate re-registration, not a move
- I••••••• W••••• M••••••••• to S•• I••••••••• A•••••••• I•••left Dec 7, 2018, registered Dec 11, 2018 (4 days) · RIA to affiliated broker-dealer or bank
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to I••••••• W••••• M•••••••••left Mar 30, 2015, registered Jul 16, 2015 (108 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