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.
J•• M••••• D•••••••
- L•• F•••••••• L•• BD affiliated currentsince Oct 5, 2022 · Marysville, Ca
- C••••• I••••••••• A••••••• L•• BD affiliatedNov 12, 2020 to Oct 12, 2022 · Lincoln, Ca
- F•••• A••••• A••••••• S•••••••• I••• formerJul 2, 2012 to Nov 12, 2020 · Chesterfield, Mo
- F•••• A••••• S••••••••• I••• formerSep 1, 2009 to Jul 2, 2012 · San Diego, Ca
- M•• F•••••••• S•••••••• I••• formerJan 22, 2009 to Sep 17, 2009 · Roseville, Ca
- B•• F••••••••• I••• state registeredSep 20, 2005 to Apr 16, 2008 · Roseville, Ca
- B•• F•••••••• unclassifiedApr 8, 2004 to Oct 19, 2005 · Roseville, Ca
- C••••• I••••••••• A••••••• L•• to L•• F•••••••• L••left Oct 12, 2022, registered Oct 5, 2022 (-7 days) · Affiliated broker-dealer or bank to independent RIA
- F•••• A••••• A••••••• S•••••••• I••• to C••••• I••••••••• A••••••• L••left Nov 12, 2020, registered Nov 12, 2020 (0 days) · corporate re-registration, not a move
- F•••• A••••• S••••••••• I••• to F•••• A••••• A••••••• S•••••••• I•••left Jul 2, 2012, registered Jul 2, 2012 (0 days) · corporate re-registration, not a move
- M•• F•••••••• S•••••••• I••• to F•••• A••••• S••••••••• I•••left Sep 17, 2009, registered Sep 1, 2009 (-16 days) · Other
- B•• F••••••••• I••• to M•• F•••••••• S•••••••• I•••left Apr 16, 2008, registered Jan 22, 2009 (281 days) · Other
- B•• F•••••••• to B•• F••••••••• I•••left Oct 19, 2005, registered Sep 20, 2005 (-29 days) · Other
- J•• M••••• D••••••• left C••••• I••••••••• A••••••• L•• for L•• F•••••••• L•• (registered 2022-10-05)Oct 12, 2022 · Advisor changed firm · fact
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