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••••• L•••••
- A••••••• I••••••••• A•••••••• L•• institutional currentsince Oct 8, 2019 · Carmichael, Ca
- A••••• F•••••••• A•••••••• L•• independent RIAMar 17, 2015 to May 10, 2019 · Sacramento, Ca
- A••••••••• F•••••••• S•••••••• L•• national BDMar 5, 2013 to Dec 24, 2014 · Roseville, Ca
- T• A••••••••• I••••••••• M••••••••• L•• formerApr 25, 2012 to Nov 19, 2012 · Roseville, Ca
- T• A••••••••• I••• formerApr 25, 2012 to Nov 19, 2012 · Roseville, Ca
- U••• B•••••• I••••••••• I••• formerDec 10, 2010 to Apr 13, 2012 · Elk Grove, Ca
- W••• I••••••••• I••• unclassifiedJan 15, 2004 to Oct 16, 2007 · Elk Grove, Ca
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseApr 12, 2002 to Mar 5, 2003 · Sacramento, Ca
- A••••• F•••••••• A•••••••• L•• to A••••••• I••••••••• A•••••••• L••left May 10, 2019, registered Oct 8, 2019 (151 days) · Other
- A••••••••• F•••••••• S•••••••• L•• to A••••• F•••••••• A•••••••• L••left Dec 24, 2014, registered Mar 17, 2015 (83 days) · Other
- T• A••••••••• I••• to A••••••••• F•••••••• S•••••••• L••left Nov 19, 2012, registered Mar 5, 2013 (106 days) · Other
- T• A••••••••• I••••••••• M••••••••• L•• to T• A••••••••• I•••left Nov 19, 2012, registered Apr 25, 2012 (-208 days) · channel change inside one enterprise, not a move
- U••• B•••••• I••••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••left Apr 13, 2012, registered Apr 25, 2012 (12 days) · Other
- W••• I••••••••• I••• to U••• B•••••• I••••••••• I•••left Oct 16, 2007, registered Dec 10, 2010 (1151 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to W••• I••••••••• I•••left Mar 5, 2003, registered Jan 15, 2004 (316 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
- Institutional managerderived
- Years in industry
- 24derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address