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 Oct 4, 2023 · Fresno, Ca
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseJul 12, 2017 to Oct 5, 2023 · Fresno, Ca
- S•• I••••••••• A•••••••• I••• formerApr 5, 2011 to May 17, 2016 · Fresno, Ca
- P•••••••• S••••••••• I••• BD affiliatedSep 2, 2005 to Mar 1, 2011 · Fresno, Ca
- U•• F•••••••• S••••••• I••• wirehouseSep 17, 2004 to Aug 9, 2005 · Fresno, Ca
- C•••••••• G••••• M•••••• I••• BD affiliatedJun 25, 2001 to Oct 4, 2004 · Fresno, Ca
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to L•• F•••••••• L••left Oct 5, 2023, registered Oct 4, 2023 (-1 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
- S•• I••••••••• A•••••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left May 17, 2016, registered Jul 12, 2017 (421 days) · Other
- P•••••••• S••••••••• I••• to S•• I••••••••• A•••••••• I•••left Mar 1, 2011, registered Apr 5, 2011 (35 days) · Other
- U•• F•••••••• S••••••• I••• to P•••••••• S••••••••• I•••left Aug 9, 2005, registered Sep 2, 2005 (24 days) · Other
- C•••••••• G••••• M•••••• I••• to U•• F•••••••• S••••••• I•••left Oct 4, 2004, registered Sep 17, 2004 (-17 days) · Other
- S•••• B•••• left M•••••• L••••• P•••••• F••••• • S•••• I••••••••• for L•• F•••••••• L•• (registered 2023-10-04)Oct 5, 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
- 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