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.
T••••• N•••
- L•• F•••••••• L•• BD affiliated currentsince Jan 5, 2022 · Kingsburg, Ca
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseDec 18, 2018 to Jan 5, 2022 · Visalia, Ca
- F•••••••• A••••••• S•••••••• L•• formerSep 10, 2012 to Sep 28, 2018 · San Jose, Ca
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to L•• F•••••••• L••left Jan 5, 2022, registered Jan 5, 2022 (0 days) · Wirehouse to affiliated broker-dealer or bank
- F•••••••• A••••••• S•••••••• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Sep 28, 2018, registered Dec 18, 2018 (81 days) · Affiliated broker-dealer or bank to wirehouse
- T••••• N••• left M•••••• L••••• P•••••• F••••• • S•••• I••••••••• for L•• F•••••••• L•• (registered 2022-01-05)Jan 5, 2022 · 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