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••••• M••••••• D•••
- R••••• W• B•••• • C•• I••••••••• mixed wealth currentsince Jan 15, 2015 · Grass Valley, Ca
- P••••••••• A••••••• S••••••• L•• formerJun 27, 2011 to Jan 16, 2015 · Penn Valley, Ca
- C••• F•••••••• S•••••••• L••• formerDec 1, 2009 to May 5, 2011 · Eugene, Or
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliatedJan 2, 2009 to Dec 2, 2009 · Saint Petersburg, Fl
- R•••••• J•••• F•••••••• S•••••••• I••• unclassifiedSep 5, 2007 to Jan 2, 2009 · Eugene, Or
- C••••• A•• C••••• F•••••••• unclassifiedSep 11, 2006 to Dec 31, 2008 · Eugene, Or
- P••••••••• A••••••• S••••••• L•• to R••••• W• B•••• • C•• I•••••••••left Jan 16, 2015, registered Jan 15, 2015 (-1 days) · Other
- C••• F•••••••• S•••••••• L••• to P••••••••• A••••••• S••••••• L••left May 5, 2011, registered Jun 27, 2011 (53 days) · Other
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• to C••• F•••••••• S•••••••• L•••left Dec 2, 2009, registered Dec 1, 2009 (-1 days) · Other
- R•••••• J•••• F•••••••• S•••••••• I••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••left Jan 2, 2009, registered Jan 2, 2009 (0 days) · corporate re-registration, not a move
- C••••• A•• C••••• F•••••••• to R•••••• J•••• F•••••••• S•••••••• I•••left Dec 31, 2008, registered Sep 5, 2007 (-483 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
- Wealth manager with institutional or fund businessderived
- Years in industry
- 25derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address