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.
G•••• L•••• G••••
- L•• F•••••••• L•• BD affiliated currentsince Jul 19, 2023 · Fresno, Ca
- B••••••• I••••••••• S•••••••• I••• ••••• formerMay 16, 2011 to Jul 19, 2023 · Tulare, Ca
- S••••••• P•••••• F••••••••• L•• formerJan 19, 2011 to May 31, 2011 · Madera, Ca
- L•• F•••••••• L•• BD affiliatedMar 4, 2008 to Jan 31, 2011 · Madera, Ca
- I••• S••••••••• I••• unclassifiedJan 6, 2005 to Mar 4, 2008 · Selma, Ca
- C••••••• I••••••••• S••••••• unclassifiedSep 30, 2003 to Jan 7, 2005 · Fresno, Ca
- W•••• F•••• I••••••••• L•• unclassifiedAug 9, 2002 to Oct 3, 2003 · Fresno, Ca
- B••••••• I••••••••• S•••••••• I••• ••••• to L•• F•••••••• L••left Jul 19, 2023, registered Jul 19, 2023 (0 days) · corporate re-registration, not a move
- S••••••• P•••••• F••••••••• L•• to B••••••• I••••••••• S•••••••• I••• •••••left May 31, 2011, registered May 16, 2011 (-15 days) · Other
- L•• F•••••••• L•• to S••••••• P•••••• F••••••••• L••left Jan 31, 2011, registered Jan 19, 2011 (-12 days) · Other
- I••• S••••••••• I••• to L•• F•••••••• L••left Mar 4, 2008, registered Mar 4, 2008 (0 days) · corporate re-registration, not a move
- C••••••• I••••••••• S••••••• to I••• S••••••••• I•••left Jan 7, 2005, registered Jan 6, 2005 (-1 days) · Other
- W•••• F•••• I••••••••• L•• to C••••••• I••••••••• S•••••••left Oct 3, 2003, registered Sep 30, 2003 (-3 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