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••••• R•••••• D••••
- A•••••• A•••••••• L•• state registered currentsince Jan 1, 2025 · Roseville, Ca
- C••••••••• W•••••• L•• independent RIA currentsince Jan 13, 2021 · Roseville, Ca
- R•••• I••••••••• A••••••• L•• BD affiliatedMay 13, 2016 to May 10, 2017 · Roseville, Ca
- S••••• W••••• P•••••••• L•• former sec a••••••Oct 24, 2015 to Jun 1, 2016 · Roseville, Ca
- S•• A••••••• N••••••• L•• unclassifiedNov 14, 2013 to Mar 26, 2016 · Boardman, Oh
- R•••• I••••••••• A••••••• L•• to C••••••••• W•••••• L••left May 10, 2017, registered Jan 13, 2021 (1344 days) · Other
- S••••• W••••• P•••••••• L•• to R•••• I••••••••• A••••••• L••left Jun 1, 2016, registered May 13, 2016 (-19 days) · Other
- S•• A••••••• N••••••• L•• to S••••• W••••• P•••••••• L••left Mar 26, 2016, registered Oct 24, 2015 (-154 days) · Other · 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
- Independent wealth managerderived
- Years in industry
- 17derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address