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.
E•••••••• S•••••• F••••••
- C••••• I••••••••• A••••••• L•• BD affiliated currentsince Mar 21, 2024 · Elk Grove, Ca
- M••••• C•••••• A•••••••• L•• independent RIAJan 3, 2013 to May 2, 2014 · Milpitas, Ca
- C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliatedDec 5, 2011 to Dec 18, 2012 · Milpitas, Ca
- W••••••• F•••••••• S•••••••• I••• formerDec 21, 2005 to Nov 29, 2011 · Roseville, Ca
- S•••••••• F••••••••• I••• formerOct 31, 2005 to Jan 9, 2006 · Phoenix, Az
- S••••••••• S••••••••• I••• unclassifiedJun 30, 2005 to Oct 31, 2005 · Walnut Creek, Ca
- M••••• C•••••• A•••••••• L•• to C••••• I••••••••• A••••••• L••left May 2, 2014, registered Mar 21, 2024 (3611 days) · Other
- C•••••••• I••••••••• R••••••• A•••••••• I••• to M••••• C•••••• A•••••••• L••left Dec 18, 2012, registered Jan 3, 2013 (16 days) · Other
- W••••••• F•••••••• S•••••••• I••• to C•••••••• I••••••••• R••••••• A•••••••• I•••left Nov 29, 2011, registered Dec 5, 2011 (6 days) · Other
- S•••••••• F••••••••• I••• to W••••••• F•••••••• S•••••••• I•••left Jan 9, 2006, registered Dec 21, 2005 (-19 days) · Other
- S••••••••• S••••••••• I••• to S•••••••• F••••••••• I•••left Oct 31, 2005, registered Oct 31, 2005 (0 days) · corporate re-registration, not a move
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