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.
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L••••••• M••••• J••••••
- K••••• A••••••• S•••••••• L•• BD affiliated currentsince May 8, 2023 · Vallejo, Ca
- W•••• F•••• A••••••• wirehouseJul 25, 2014 to May 24, 2023 · Walnut Creek, Ca
- J••• M••••• S••••••••• L•• wirehouseOct 1, 2012 to Jul 29, 2014 · Fairfield, Ca
- C•••• I••••••••• S••••••• C•••• formerAug 16, 2010 to Oct 1, 2012 · Fairfield, Ca
- S••••••••• A•••••• A•••••••• I••• formerJan 23, 2009 to Aug 17, 2010 · Lavista, Ne
- B••••• • Y•••• A•••••••• I••• formerMar 5, 2007 to Jan 23, 2009 · Folsom, Ca
- M•••• C••••••• A••••••• S•••••• BD affiliatedMay 14, 1999 to Mar 5, 2007 · Vallejo, Ca
- W•••• F•••• A••••••• to K••••• A••••••• S•••••••• L••left May 24, 2023, registered May 8, 2023 (-16 days) · Wirehouse to affiliated broker-dealer or bank
- J••• M••••• S••••••••• L•• to W•••• F•••• A•••••••left Jul 29, 2014, registered Jul 25, 2014 (-4 days) · Wirehouse to wirehouse
- C•••• I••••••••• S••••••• C•••• to J••• M••••• S••••••••• L••left Oct 1, 2012, registered Oct 1, 2012 (0 days) · corporate re-registration, not a move
- S••••••••• A•••••• A•••••••• I••• to C•••• I••••••••• S••••••• C••••left Aug 17, 2010, registered Aug 16, 2010 (-1 days) · Other
- B••••• • Y•••• A•••••••• I••• to S••••••••• A•••••• A•••••••• I•••left Jan 23, 2009, registered Jan 23, 2009 (0 days) · corporate re-registration, not a move
- M•••• C••••••• A••••••• S•••••• to B••••• • Y•••• A•••••••• I•••left Mar 5, 2007, registered Mar 5, 2007 (0 days) · Other
- L••••••• M••••• J•••••• left W•••• F•••• A••••••• for K••••• A••••••• S•••••••• L•• (registered 2023-05-08)May 24, 2023 · 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 30derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address