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•••• R••••• R••••
- C•••••••• F••••••••• I••• BD affiliated currentsince May 24, 2017 · Anaheim, Ca
- S••••••••• A•••••• A•••••••• I••• formerDec 14, 2012 to May 25, 2017 · Merced, Ca
- P•••••••• S••••••••• I••• BD affiliatedJan 28, 2011 to Dec 21, 2012 · Merced, Ca
- L•• F•••••••• L•• BD affiliatedApr 9, 2002 to Apr 30, 2002 · Merced, Ca
- S••••••••• A•••••• A•••••••• I••• to C•••••••• F••••••••• I•••left May 25, 2017, registered May 24, 2017 (-1 days) · Other
- P•••••••• S••••••••• I••• to S••••••••• A•••••• A•••••••• I•••left Dec 21, 2012, registered Dec 14, 2012 (-7 days) · Other
- L•• F•••••••• L•• to P•••••••• S••••••••• I•••left Apr 30, 2002, registered Jan 28, 2011 (3195 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