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.
W•••••• S••••••• C••••
- L•• F•••••••• L•• BD affiliated currentsince May 18, 2022 · Auburn, Ca
- C••• B•••••••• S•••••••• I••• formerSep 19, 2019 to May 18, 2022 · Marysville, Ca
- J•• I••••••••• A•• W••••• P••••••••• L•• state registeredMay 31, 2019 to Sep 10, 2019 · Auburn, Ca
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseMay 18, 2015 to Jun 27, 2017 · Davis, Ca
- J••• M••••• S••••••••• L•• wirehouseMar 27, 2013 to May 12, 2015 · Sacramento, Ca
- C••• B•••••••• S•••••••• I••• to L•• F•••••••• L••left May 18, 2022, registered May 18, 2022 (0 days) · corporate re-registration, not a move
- J•• I••••••••• A•• W••••• P••••••••• L•• to C••• B•••••••• S•••••••• I•••left Sep 10, 2019, registered Sep 19, 2019 (9 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to J•• I••••••••• A•• W••••• P••••••••• L••left Jun 27, 2017, registered May 31, 2019 (703 days) · Wirehouse to a state-registered adviser
- J••• M••••• S••••••••• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left May 12, 2015, registered May 18, 2015 (6 days) · Wirehouse to wirehouse · moved with a team
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
- 32derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address