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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J•••• A••••• W•••
- C••• L•• BD affiliated currentsince Jan 21, 2025 · Roseville, Ca
- W•••• F•••• A••••••• wirehouseAug 24, 2015 to Jan 28, 2025 · Roseville, Ca
- M••••• S•••••• wirehouseOct 22, 2010 to Sep 9, 2015 · Roseville, Ca
- W••• • F••• I••••••••• A••••••• G•••• unclassifiedMar 23, 2009 to Dec 31, 2009 · Roseville, Ca
- W••• • F••• I••••••••• A••••••• G•••• unclassifiedJul 10, 2003 to Dec 31, 2008 · Roseville, Ca
- L•• F•••••••• L•• BD affiliatedMay 23, 2003 to Nov 1, 2010 · Folsom, Ca
- P••••••••• E••••• G••••• L•• unclassifiedFeb 6, 2001 to May 28, 2003 · Roseville, Ca
- W•••• F•••• A••••••• to C••• L••left Jan 28, 2025, registered Jan 21, 2025 (-7 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
- M••••• S•••••• to W•••• F•••• A•••••••left Sep 9, 2015, registered Aug 24, 2015 (-16 days) · Wirehouse to wirehouse · moved with a team
- L•• F•••••••• L•• to W••• • F••• I••••••••• A••••••• G••••left Nov 1, 2010, registered Jul 10, 2003 (-2671 days) · Other
- W••• • F••• I••••••••• A••••••• G•••• to M••••• S••••••left Dec 31, 2009, registered Oct 22, 2010 (295 days) · Other
- P••••••••• E••••• G••••• L•• to L•• F•••••••• L••left May 28, 2003, registered May 23, 2003 (-5 days) · Other
- J•••• A••••• W••• left W•••• F•••• A••••••• for C••• L•• (registered 2025-01-21)Jan 28, 2025 · 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
- 29derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address