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.
R••••• C•••••• R•••
- A••••••• F••••••••• L••• BD affiliated currentsince Dec 6, 2024 · Yuba City, Ca
- R••• W••••• M••••••••• formerAug 9, 2018 to Mar 31, 2025 · Yuba City, Ca
- O•••• W•••••• I••• BD affiliatedAug 13, 2003 to Dec 4, 2024 · Yuba City, Ca
- R••• W••••• M••••••••• to A••••••• F••••••••• L•••left Mar 31, 2025, registered Dec 6, 2024 (-115 days) · RIA to affiliated broker-dealer or bank · moved with a team
- O•••• W•••••• I••• to R••• W••••• M•••••••••left Dec 4, 2024, registered Aug 9, 2018 (-2309 days) · Affiliated broker-dealer or bank to independent RIA
- R••••• C•••••• R••• left R••• W••••• M••••••••• for A••••••• F••••••••• L••• (registered 2024-12-06)Mar 31, 2025 · Advisor changed firm · fact
- R••••• C•••••• R••• left O•••• W•••••• I••• for R••• W••••• M••••••••• (registered 2018-08-09)Dec 4, 2024 · 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