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.
S•••• D•••• S•••••
- S••••• F•••••••• C••••••••• independent RIA currentsince Jun 18, 2018 · Wilton, Ca
- U••••• P•••••••• F•••••••• S••••••• O• A•••••• A• L•••••• P•••••• independent RIAOct 13, 2016 to Aug 16, 2019 · Roseville, Ca
- S•• A•••••••• I••• formerSep 11, 2012 to Nov 18, 2016 · Roseville, Ca
- W••••••• F•••••••• S•••••••• I••• formerSep 9, 2009 to Sep 14, 2012 · Sacramento, Ca
- U••••• P•••••••• F•••••••• S••••••• O• A•••••• A• L•••••• P•••••• to S••••• F•••••••• C•••••••••left Aug 16, 2019, registered Jun 18, 2018 (-424 days) · RIA to RIA
- S•• A•••••••• I••• to U••••• P•••••••• F•••••••• S••••••• O• A•••••• A• L•••••• P••••••left Nov 18, 2016, registered Oct 13, 2016 (-36 days) · Other
- W••••••• F•••••••• S•••••••• I••• to S•• A•••••••• I•••left Sep 14, 2012, registered Sep 11, 2012 (-3 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
- Independent wealth managerderived
- Years in industry
- 25derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address