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.
R••••• B• G•••••••
- P•••••••• S••••••••• I••• BD affiliated currentsince Jan 12, 2017 · Bakersfield, Ca
- U••• B•••••• A•••••••• L•• BD affiliatedFeb 26, 2015 to Jan 5, 2017 · Delano, Ca
- M••••• S•••••• wirehouseJun 1, 2009 to Mar 9, 2015 · Bakersfield, Ca
- M••••• S•••••• • C•• L•• unclassifiedMar 20, 2008 to Jun 1, 2009 · Bakersfield, Ca
- W•••••• I••••••••• S••••••••• formerNov 29, 2004 to Mar 14, 2008 · Incline Village, Nv
- C•••••• S••••• • C••• I••• national BDJan 30, 2003 to Jan 29, 2004 · Bakersfield, Ca
- U•• F•••••••• S••••••• I••• wirehouseJun 13, 2001 to Jan 14, 2003 · Bakersfield, Ca
- U••• B•••••• A•••••••• L•• to P•••••••• S••••••••• I•••left Jan 5, 2017, registered Jan 12, 2017 (7 days) · Other
- M••••• S•••••• to U••• B•••••• A•••••••• L••left Mar 9, 2015, registered Feb 26, 2015 (-11 days) · Other
- M••••• S•••••• • C•• L•• to M••••• S••••••left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
- W•••••• I••••••••• S••••••••• to M••••• S•••••• • C•• L••left Mar 14, 2008, registered Mar 20, 2008 (6 days) · Other
- C•••••• S••••• • C••• I••• to W•••••• I••••••••• S•••••••••left Jan 29, 2004, registered Nov 29, 2004 (305 days) · Other
- U•• F•••••••• S••••••• I••• to C•••••• S••••• • C••• I•••left Jan 14, 2003, registered Jan 30, 2003 (16 days) · Wirehouse to affiliated broker-dealer or bank
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