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•••• M••••••
- A••••••••• F•••••••• S•••••••• L•• national BD currentsince Dec 1, 2019 · Bakersfield, Ca
- W•••• F•••• A••••••• wirehouseAug 13, 2012 to Dec 4, 2019 · Bakersfield, Ca
- C•••• I••••••••• S••••••• C•••• formerSep 4, 2009 to Aug 13, 2012 · Bakersfield, Ca
- W•••• F•••• A••••••• to A••••••••• F•••••••• S•••••••• L••left Dec 4, 2019, registered Dec 1, 2019 (-3 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
- C•••• I••••••••• S••••••• C•••• to W•••• F•••• A•••••••left Aug 13, 2012, registered Aug 13, 2012 (0 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
- National broker-dealer RIAderived
- Years in industry
- 20derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address