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.
A••••• T•••••••• M••••••
- L•• F•••••••• L•• BD affiliated currentsince May 1, 2025 · Roseville, Ca
- S•• I••••••••• A•••••••• I••• formerNov 4, 2015 to May 1, 2025 · Roseville, Ca
- W•• A•••••••• L• formerNov 5, 2012 to Nov 3, 2015 · Roseville, Ca
- C••••••••• F•••••••• N•••••• national BDMar 9, 2012 to Nov 2, 2012 · Roseville, Ca
- L••• F•••••••• L•• state registeredNov 14, 2008 to Dec 31, 2010 · Folsom, Ca
- C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliatedMar 28, 2005 to Apr 2, 2012 · Folsom, Ca
- C•••••••• I••••••••• R•••••••• I••• unclassifiedJan 2, 2003 to Mar 28, 2005 · Folsom, Ca
- M••••• S•••••• D• I••• unclassifiedDec 13, 2000 to Dec 4, 2002 · Sacramento, Ca
- S•• I••••••••• A•••••••• I••• to L•• F•••••••• L••left May 1, 2025, registered May 1, 2025 (0 days) · corporate re-registration, not a move
- W•• A•••••••• L• to S•• I••••••••• A•••••••• I•••left Nov 3, 2015, registered Nov 4, 2015 (1 days) · Other
- C••••••••• F•••••••• N•••••• to W•• A•••••••• L•left Nov 2, 2012, registered Nov 5, 2012 (3 days) · Other
- C•••••••• I••••••••• R••••••• A•••••••• I••• to L••• F•••••••• L••left Apr 2, 2012, registered Nov 14, 2008 (-1235 days) · Other
- L••• F•••••••• L•• to C••••••••• F•••••••• N••••••left Dec 31, 2010, registered Mar 9, 2012 (434 days) · Other
- C•••••••• I••••••••• R•••••••• I••• to C•••••••• I••••••••• R••••••• A•••••••• I•••left Mar 28, 2005, registered Mar 28, 2005 (0 days) · corporate re-registration, not a move
- M••••• S•••••• D• I••• to C•••••••• I••••••••• R•••••••• I•••left Dec 4, 2002, registered Jan 2, 2003 (29 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
- 27derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address