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.
- W•••• F•••• A••••••• wirehouse currentsince Nov 13, 2017 · Sacramento, Ca
- U••• B•••••• I••••••••• I••• formerOct 6, 2015 to Nov 13, 2017 · Sacramento, Ca
- J••• M••••• S••••••••• L•• wirehouseOct 1, 2012 to Oct 7, 2015 · Stockton, Ca
- C•••• I••••••••• S••••••• C•••• formerSep 17, 2010 to Oct 1, 2012 · Sacramento, Ca
- E••••• J•••• national BDMay 29, 2009 to Sep 20, 2010 · Woodland, Ca
- W•••• F•••• A••••••• wirehouseJul 24, 2008 to May 26, 2009 · Sacramento, Ca
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseJan 14, 2005 to Jul 24, 2008 · Sacramento, Ca
- M••••• S•••••• D• I••• unclassifiedAug 24, 1998 to Jan 19, 2005 · Stockton, Ca
- U••• B•••••• I••••••••• I••• to W•••• F•••• A•••••••left Nov 13, 2017, registered Nov 13, 2017 (0 days) · Other
- J••• M••••• S••••••••• L•• to U••• B•••••• I••••••••• I•••left Oct 7, 2015, registered Oct 6, 2015 (-1 days) · Other · moved with a team
- 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
- E••••• J•••• to C•••• I••••••••• S••••••• C••••left Sep 20, 2010, registered Sep 17, 2010 (-3 days) · Other
- W•••• F•••• A••••••• to E••••• J••••left May 26, 2009, registered May 29, 2009 (3 days) · Wirehouse to affiliated broker-dealer or bank
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to W•••• F•••• A•••••••left Jul 24, 2008, registered Jul 24, 2008 (0 days) · Wirehouse to wirehouse
- M••••• S•••••• D• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Jan 19, 2005, registered Jan 14, 2005 (-5 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
- Wirehousederived
- Years in industry
- 29derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address