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•••• L••• Y•••
- I••••••••• W••••• C••••••• L•• independent RIA currentsince Feb 1, 2023 · Fresno, Ca
- L••••• W••••• A•••••••• I••• formerFeb 1, 2021 to Mar 31, 2023 · Fresno, Ca
- L••••• W••••• A•••••••• I••• formerOct 4, 2019 to Dec 31, 2020 · Fresno, Ca
- W•••• F•••• A••••••• wirehouseNov 26, 2018 to Sep 23, 2019 · Fresno, Ca
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliatedNov 17, 2017 to Nov 12, 2018 · Fresno, Ca
- A••••••••• F•••••••• S•••••••• L•• national BDApr 9, 2015 to Nov 30, 2017 · Mercer Island, Wa
- W•••• F•••• A••••••• wirehouseAug 29, 2014 to Feb 23, 2015 · Fresno, Ca
- U•• F•••••••• S••••••• I••• wirehouseJun 24, 2008 to Sep 8, 2014 · Fresno, Ca
- L••••• W••••• A•••••••• I••• to I••••••••• W••••• C••••••• L••left Mar 31, 2023, registered Feb 1, 2023 (-58 days) · corporate re-registration, not a move
- W•••• F•••• A••••••• to L••••• W••••• A•••••••• I•••left Sep 23, 2019, registered Oct 4, 2019 (11 days) · Wirehouse to independent RIA · moved with a team
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• to W•••• F•••• A•••••••left Nov 12, 2018, registered Nov 26, 2018 (14 days) · Affiliated broker-dealer or bank to wirehouse
- A••••••••• F•••••••• S•••••••• L•• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••left Nov 30, 2017, registered Nov 17, 2017 (-13 days) · Other · moved with a team
- W•••• F•••• A••••••• to A••••••••• F•••••••• S•••••••• L••left Feb 23, 2015, registered Apr 9, 2015 (45 days) · Wirehouse to affiliated broker-dealer or bank
- U•• F•••••••• S••••••• I••• to W•••• F•••• A•••••••left Sep 8, 2014, registered Aug 29, 2014 (-10 days) · Wirehouse to wirehouse
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
- Independent wealth managerderived
- Years in industry
- 26derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address