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.
R•••••• K•••• A••••••
- O•••• W•••••• I••• BD affiliated currentsince Jun 14, 2024 · Sacramento, Ca
- S••••••••• A•••••• A•••••••• I••• formerJan 23, 2009 to Jun 14, 2024 · Sacramento, Ca
- B••••• • Y•••• A•••••••• I••• formerDec 16, 2005 to Jan 23, 2009 · Folsom, Ca
- A••••••• G•••••• F•••••••• A•••••••• I••• unclassifiedMar 21, 2003 to Jan 11, 2006 · Sacramento, Ca
- V•••• F•••••••• A•••••••• I••• BD affiliatedDec 18, 2002 to Dec 21, 2005 · Roseville, Ca
- A••••••••• F•••••••• S•••••••• L•• national BDJun 17, 2002 to Nov 22, 2002 · Roseville, Ca
- S••••••••• A•••••• A•••••••• I••• to O•••• W•••••• I•••left Jun 14, 2024, registered Jun 14, 2024 (0 days) · corporate re-registration, not a move
- B••••• • Y•••• A•••••••• I••• to S••••••••• A•••••• A•••••••• I•••left Jan 23, 2009, registered Jan 23, 2009 (0 days) · corporate re-registration, not a move
- A••••••• G•••••• F•••••••• A•••••••• I••• to B••••• • Y•••• A•••••••• I•••left Jan 11, 2006, registered Dec 16, 2005 (-26 days) · Other
- V•••• F•••••••• A•••••••• I••• to A••••••• G•••••• F•••••••• A•••••••• I•••left Dec 21, 2005, registered Mar 21, 2003 (-1006 days) · Other
- A••••••••• F•••••••• S•••••••• L•• to V•••• F•••••••• A•••••••• I•••left Nov 22, 2002, registered Dec 18, 2002 (26 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
- 24derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address