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.
R•••••• D••• N•••••••
- U••••• P•••••••• F•••••••• S••••••• O• A•••••• A• L•••••• P•••••• independent RIA currentsince Nov 13, 2018 · Fresno, Ca
- R••• B•••• F•••••••• S••••••• formerOct 28, 2008 to Apr 12, 2019 · Fresno, Ca
- R••• B•••• F•••••••• S••••••• unclassifiedJan 17, 2008 to Oct 27, 2008 · Fresno, Ca
- N••• F•••••••• G••••• I••• formerDec 11, 2007 to May 5, 2010 · Houston, Tx
- P•••••••• S••••••••• I••• BD affiliatedAug 15, 2006 to Dec 13, 2007 · Fresno, Ca
- T••••••••• F•••••••• A•••••••• L•• BD affiliatedFeb 21, 2001 to Aug 11, 2006 · Fresno, Ca
- R••• B•••• F•••••••• S••••••• to U••••• P•••••••• F•••••••• S••••••• O• A•••••• A• L•••••• P••••••left Apr 12, 2019, registered Nov 13, 2018 (-150 days) · Other · moved with a team
- N••• F•••••••• G••••• I••• to R••• B•••• F•••••••• S•••••••left May 5, 2010, registered Jan 17, 2008 (-839 days) · Other
- R••• B•••• F•••••••• S••••••• to R••• B•••• F•••••••• S•••••••left Oct 27, 2008, registered Oct 28, 2008 (1 days) · Other
- P•••••••• S••••••••• I••• to N••• F•••••••• G••••• I•••left Dec 13, 2007, registered Dec 11, 2007 (-2 days) · Other
- T••••••••• F•••••••• A•••••••• L•• to P•••••••• S••••••••• I•••left Aug 11, 2006, registered Aug 15, 2006 (4 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
- Independent wealth managerderived
- Years in industry
- 25derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address