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.
- L•• F•••••••• L•• BD affiliated currentsince Jan 10, 2020 · Folsom, Ca
- C••••• A•••••• N••••••• L•• formerNov 19, 2003 to Jan 16, 2020 · Sacramento, Ca
- B••••• • Y•••• A•••••••• I••• formerAug 20, 2002 to Sep 13, 2002 · Folsom, Ca
- M••••• S•••••• D• I••• unclassifiedMar 26, 2002 to Aug 7, 2002 · Sacramento, Ca
- C••••• A•••••• N••••••• L•• to L•• F•••••••• L••left Jan 16, 2020, registered Jan 10, 2020 (-6 days) · Affiliated broker-dealer or bank to another · moved with a team
- B••••• • Y•••• A•••••••• I••• to C••••• A•••••• N••••••• L••left Sep 13, 2002, registered Nov 19, 2003 (432 days) · Other
- M••••• S•••••• D• I••• to B••••• • Y•••• A•••••••• I•••left Aug 7, 2002, registered Aug 20, 2002 (13 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 25derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address