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.
N••••••• A•••• O••••••
- L•• F•••••••• L•• BD affiliated currentsince Apr 9, 2020 · Fresno, Ca
- M•••••• A•••••• N•••••• BD affiliatedMay 30, 2017 to Apr 13, 2020 · Fresno, Ca
- C•••••• F•••••••• S•••••••• I••• formerFeb 2, 2010 to May 30, 2017 · Fresno, Ca
- S••••••• I••••••••• I••• formerSep 19, 2007 to Feb 4, 2010 · Medera, Ca
- M•••••• A•••••• N•••••• to L•• F•••••••• L••left Apr 13, 2020, registered Apr 9, 2020 (-4 days) · RIA to affiliated broker-dealer or bank
- C•••••• F•••••••• S•••••••• I••• to M•••••• A•••••• N••••••left May 30, 2017, registered May 30, 2017 (0 days) · Other
- S••••••• I••••••••• I••• to C•••••• F•••••••• S•••••••• I•••left Feb 4, 2010, registered Feb 2, 2010 (-2 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