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.
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- U••••• P•••••••• F•••••••• S••••••• O• A•••••• A• L•••••• P•••••• independent RIA currentsince Jan 12, 2018 · Sonora, Ca
- C•••••••• A•••••••• L•• independent RIAAug 5, 2016 to Jan 19, 2018 · Sonora, Ca
- S••••••• I••••••••• I••• formerMay 13, 2016 to Jan 19, 2018 · Sonora, Ca
- T••••••••• F•••••••• A•••••••• L•• BD affiliatedJul 25, 2001 to May 13, 2016 · Sonora, Ca
- C•••••••• A•••••••• L•• to U••••• P•••••••• F•••••••• S••••••• O• A•••••• A• L•••••• P••••••left Jan 19, 2018, registered Jan 12, 2018 (-7 days) · Other
- S••••••• I••••••••• I••• to C•••••••• A•••••••• L••left Jan 19, 2018, registered Aug 5, 2016 (-532 days) · Other
- T••••••••• F•••••••• A•••••••• L•• to S••••••• I••••••••• I•••left May 13, 2016, registered May 13, 2016 (0 days) · corporate re-registration, not a move
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