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.
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A•••• J••••••
- S•••••••• A••••••• L•• national BD currentsince Mar 31, 2025 · Roseville, Ca
- F••••••• P••••••• A•• W•••••••• A••••••• formerJul 14, 2023 to Mar 31, 2025 · Sacramento, Ca
- W•••• F•••• A••••••• wirehouseMar 2, 2022 to Apr 19, 2023 · Roseville, Ca
- W•••• F•••• A••••••• wirehouseJan 3, 2011 to Aug 31, 2021 · Roseville, Ca
- W•••• F•••• I••••••••• L•• unclassifiedJul 26, 2004 to Jan 3, 2011 · Sacramento, Ca
- E•••••• A••••••• S•••••••• I••• unclassifiedOct 24, 2002 to Sep 22, 2003 · Rancho Cordova, Ca
- F••••••• P••••••• A•• W•••••••• A••••••• to S•••••••• A••••••• L••left Mar 31, 2025, registered Mar 31, 2025 (0 days) · corporate re-registration, not a move
- W•••• F•••• A••••••• to F••••••• P••••••• A•• W•••••••• A•••••••left Apr 19, 2023, registered Jul 14, 2023 (86 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
- W•••• F•••• I••••••••• L•• to W•••• F•••• A•••••••left Jan 3, 2011, registered Jan 3, 2011 (0 days) · corporate re-registration, not a move
- E•••••• A••••••• S•••••••• I••• to W•••• F•••• I••••••••• L••left Sep 22, 2003, registered Jul 26, 2004 (308 days) · Other
- A•••• J•••••• left W•••• F•••• A••••••• for F••••••• P••••••• A•• W•••••••• A••••••• (registered 2023-07-14)Apr 19, 2023 · 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
- National broker-dealer RIAderived
- Years in industry
- 26derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address