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•••• T••••• A•••••••
- L•• F•••••••• L•• BD affiliated currentsince Feb 17, 2023 · Roseville, Ca
- W•••••• S••••••••• I••• BD affiliatedOct 30, 2006 to Feb 23, 2023 · Salem, Or
- M••••• S•••••• D• I••• unclassifiedFeb 13, 2002 to Oct 31, 2006 · Auburn, Ca
- W•••••• S••••••••• I••• to L•• F•••••••• L••left Feb 23, 2023, registered Feb 17, 2023 (-6 days) · Affiliated broker-dealer or bank to independent RIA
- M••••• S•••••• D• I••• to W•••••• S••••••••• I•••left Oct 31, 2006, registered Oct 30, 2006 (-1 days) · Other
- S•••• T••••• A••••••• left W•••••• S••••••••• I••• for L•• F•••••••• L•• (registered 2023-02-17)Feb 23, 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
- 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