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.
D•••• P••• S•••••
- S••••• G•••• L•• state registered currentsince Nov 17, 2025 · Grass Valley, Ca
- S••••• G•••• L•• state registeredMar 5, 2004 to Dec 31, 2015 · Grass Valley, Ca
- C••••••••• F•••••••• N•••••• national BDMar 27, 2003 to Feb 11, 2004 · Grass Valley, Ca
- C••••••••• F•••••••• N•••••• national BDDec 5, 2001 to Dec 31, 2002 · Grass Valley, Ca
- C••••••••• F•••••••• N•••••• to S••••• G•••• L••left Feb 11, 2004, registered Mar 5, 2004 (23 days) · Affiliated broker-dealer or bank to a state-registered adviser
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
- STATE REGISTEREDderived
- Years in industry
- 30derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address