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.
M•••••• A•••• T•••••
- C•••••• S••••• • C••• I••• national BD currentsince Mar 24, 2023 · Santa Rosa, Ca
- P•••• S••••••••• L•• no RAUMJan 5, 2022 to Mar 24, 2023 · Walnut Creek, Ca
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliatedAug 31, 2020 to Apr 23, 2021 · Petaluma, Ca
- M••••••••• T••••• W••••• M••••••••• formerMar 14, 2018 to Jul 16, 2020 · Santa Rosa, Ca
- C••• F•••••••• S•••••••• L••• formerSep 11, 2017 to Jan 25, 2018 · Santa Rosa, Ca
- S••• W••••• L•• BD affiliatedOct 6, 2015 to Aug 30, 2017 · Healdsburg, Ca
- W•••• F•••• I••••••••• L•• unclassifiedJul 26, 2004 to Nov 24, 2010 · Yountville, Ca
- B••• O• A•••••• I••••••••• S•••••••• I••• unclassifiedAug 5, 2002 to Jun 14, 2004 · Healdsburg, Ca
- P•••• S••••••••• L•• to C•••••• S••••• • C••• I•••left Mar 24, 2023, registered Mar 24, 2023 (0 days) · Affiliated broker-dealer or bank to another
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• to P•••• S••••••••• L••left Apr 23, 2021, registered Jan 5, 2022 (257 days) · Affiliated broker-dealer or bank to another
- M••••••••• T••••• W••••• M••••••••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••left Jul 16, 2020, registered Aug 31, 2020 (46 days) · RIA to affiliated broker-dealer or bank
- C••• F•••••••• S•••••••• L••• to M••••••••• T••••• W••••• M•••••••••left Jan 25, 2018, registered Mar 14, 2018 (48 days) · Affiliated broker-dealer or bank to independent RIA
- S••• W••••• L•• to C••• F•••••••• S•••••••• L•••left Aug 30, 2017, registered Sep 11, 2017 (12 days) · Other
- W•••• F•••• I••••••••• L•• to S••• W••••• L••left Nov 24, 2010, registered Oct 6, 2015 (1777 days) · Other
- B••• O• A•••••• I••••••••• S•••••••• I••• to W•••• F•••• I••••••••• L••left Jun 14, 2004, registered Jul 26, 2004 (42 days) · Other
- M•••••• A•••• T••••• left P•••• S••••••••• L•• for C•••••• S••••• • C••• I••• (registered 2023-03-24)Mar 24, 2023 · 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
- National broker-dealer RIAderived
- Years in industry
- 24derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address