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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- B•••••• F••••• • C•••••• F•••••••• S•••••••• I••• BD affiliated currentsince Apr 20, 2009 · Sacramento, Ca
- B••• O• A•••••• I••••••••• S•••••••• I••• unclassifiedMay 25, 2007 to Apr 20, 2009 · Sacramento, Ca
- C•••••••• G••••• M•••••• I••• BD affiliatedSep 21, 2001 to Jun 14, 2007 · Sacramento, Ca
- B••• O• A•••••• I••••••••• S•••••••• I••• to B•••••• F••••• • C•••••• F•••••••• S•••••••• I•••left Apr 20, 2009, registered Apr 20, 2009 (0 days) · Other
- C•••••••• G••••• M•••••• I••• to B••• O• A•••••• I••••••••• S•••••••• I•••left Jun 14, 2007, registered May 25, 2007 (-20 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