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.
G•••••• P•••• I••••••••
- A••••••• F•••••••• A•••••••• L•• BD affiliated currentsince Mar 2, 2018 · Chico, Ca
- Y••••••• M••••••••• A•• R••••••• C• I•• asset managerFeb 11, 2014 to Sep 1, 2016 · Chico, Ca
- M••••• O• O•••• I••••••• S•••••••• I••• independent RIAMar 29, 2010 to Apr 3, 2012 · Chico, Ca
- V••• I••••••••• M••••••••• C•• L•• asset managerOct 13, 2008 to Oct 24, 2008 · New York, Ny
- Y••••••• M••••••••• A•• R••••••• C• I•• to A••••••• F•••••••• A•••••••• L••left Sep 1, 2016, registered Mar 2, 2018 (547 days) · Other
- M••••• O• O•••• I••••••• S•••••••• I••• to Y••••••• M••••••••• A•• R••••••• C• I••left Apr 3, 2012, registered Feb 11, 2014 (679 days) · Other
- V••• I••••••••• M••••••••• C•• L•• to M••••• O• O•••• I••••••• S•••••••• I•••left Oct 24, 2008, registered Mar 29, 2010 (521 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
- 28derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address