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.
C•••• L••• O••••
- P••••••••• C•••••• A••••••• independent RIA currentsince Jul 7, 2016 · Pleasanton, Ca
- Y••• S••••• R••••••••• C•••••• M••••••••• L•• unclassifiedApr 30, 2014 to Apr 16, 2017 · Pleasanton, Ca
- A•••••••• C•••••• M••••••••• independent RIASep 1, 2011 to May 1, 2014 · Stockton, Ca
- B••••••••• C•••••• M••••••••• L•• independent RIAJun 4, 2008 to Aug 29, 2011 · Stockton, Ca
- Y••• S••••• R••••••••• C•••••• M••••••••• L•• to P••••••••• C•••••• A•••••••left Apr 16, 2017, registered Jul 7, 2016 (-283 days) · Other
- A•••••••• C•••••• M••••••••• to Y••• S••••• R••••••••• C•••••• M••••••••• L••left May 1, 2014, registered Apr 30, 2014 (-1 days) · Other
- B••••••••• C•••••• M••••••••• L•• to A•••••••• C•••••• M•••••••••left Aug 29, 2011, registered Sep 1, 2011 (3 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
- Independent wealth managerderived
- Years in industry
- 24derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address