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.
E••• C•••••• M••••••• H••••
- A••••••• F••••••••• L••• BD affiliated currentsince Nov 12, 2007 · Folsom, Ca
- P•••••• S•••••••• A••••••• formerAug 10, 2011 to Jun 28, 2012 · Folsom, Ca
- A••••••• A••••••• S••••••• formerMar 24, 2005 to Dec 1, 2006 · Sacramento, Ca
- P••••••••• E••••• G••••• L•• unclassifiedFeb 6, 2001 to Jul 26, 2002 · Roseville, Ca
- P•••••• S•••••••• A••••••• to no registered destinationleft Jun 28, 2012 · Departure, no registered destination
- A••••••• A••••••• S••••••• to A••••••• F••••••••• L•••left Dec 1, 2006, registered Nov 12, 2007 (346 days) · Other
- P••••••••• E••••• G••••• L•• to A••••••• A••••••• S•••••••left Jul 26, 2002, registered Mar 24, 2005 (972 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