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.
L•••• S••••••
- L•• F•••••••• L•• BD affiliated currentsince Sep 22, 2015 · Sacramento, Ca
- A••••••••• F•••••••• S•••••••• L•• national BDNov 8, 2007 to Oct 6, 2015 · Sacramento, Ca
- T••••••••• F•••••••• A•••••••• L•• BD affiliatedDec 12, 2006 to Nov 19, 2007 · Folsom, Ca
- F••••••• S••••••••• I••• formerSep 21, 2005 to Mar 31, 2006 · Rancho Cordova, Ca
- E•••••• A••••••• S•••••••• I••• unclassifiedMay 30, 2002 to Sep 22, 2003 · Rancho Cordova, Ca
- A••••••••• F•••••••• S•••••••• L•• to L•• F•••••••• L••left Oct 6, 2015, registered Sep 22, 2015 (-14 days) · Other · moved with a team
- T••••••••• F•••••••• A•••••••• L•• to A••••••••• F•••••••• S•••••••• L••left Nov 19, 2007, registered Nov 8, 2007 (-11 days) · Other
- F••••••• S••••••••• I••• to T••••••••• F•••••••• A•••••••• L••left Mar 31, 2006, registered Dec 12, 2006 (256 days) · Other
- E•••••• A••••••• S•••••••• I••• to F••••••• S••••••••• I•••left Sep 22, 2003, registered Sep 21, 2005 (730 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
- 26derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address