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•••• C•••••• S••••••••
- E•••••• F•••••••• E•••••• independent RIA currentsince Jul 25, 2022 · Roseville, Ca
- S•••• I•••••••• L•• formerFeb 22, 2018 to Aug 25, 2022 · Woodland, Ca
- L•• F•••••••• L•• BD affiliatedDec 14, 2006 to Feb 24, 2018 · Roseville, Ca
- V•••• F•••••••• A•••••••• I••• BD affiliatedAug 6, 2001 to Dec 15, 2006 · Roseville, Ca
- S•••• I•••••••• L•• to E•••••• F•••••••• E••••••left Aug 25, 2022, registered Jul 25, 2022 (-31 days) · RIA to RIA · moved with a team
- L•• F•••••••• L•• to S•••• I•••••••• L••left Feb 24, 2018, registered Feb 22, 2018 (-2 days) · Other
- V•••• F•••••••• A•••••••• I••• to L•• F•••••••• L••left Dec 15, 2006, registered Dec 14, 2006 (-1 days) · Other
- A•••• C•••••• S•••••••• left S•••• I•••••••• L•• for E•••••• F•••••••• E•••••• (registered 2022-07-25)Aug 25, 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
- Independent wealth managerderived
- Years in industry
- 26derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address