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.
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- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliated currentsince Oct 25, 2016 · Grass Valley, Ca
- L•• F•••••••• L•• BD affiliatedAug 11, 2010 to Nov 2, 2016 · Roseville, Ca
- S•••••• P••••••• I••••••••• S••••••••• L•• formerJul 11, 2007 to Jul 30, 2010 · Auburn, Ca
- L•• F•••••••• L•• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••left Nov 2, 2016, registered Oct 25, 2016 (-8 days) · Other
- S•••••• P••••••• I••••••••• S••••••••• L•• to L•• F•••••••• L••left Jul 30, 2010, registered Aug 11, 2010 (12 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
- 29derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address