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.
D•••••• A••••• N•••••
- W•••• F•••• A••••••• wirehouse currentsince Apr 5, 2012 · Sacramento, Ca
- B••••••• I••••••••• S•••••••• I••• ••••• formerJun 14, 2011 to Mar 22, 2012 · Sacramento, Ca
- C••••• A•••••• N••••••• L•• formerAug 13, 2008 to Dec 31, 2010 · Sacramento, Ca
- P•••••• P••••••• S••••••••• I••• unclassifiedJul 7, 2006 to Aug 13, 2008 · Sacramento, Ca
- A••••••• A••••••• S••••••• formerMay 4, 2005 to Jul 11, 2006 · Folsom, Ca
- S••••••• F•••••••• S•••••••• I••• formerAug 20, 2002 to Apr 29, 2005 · Sacramento, Ca
- B••••••• I••••••••• S•••••••• I••• ••••• to W•••• F•••• A•••••••left Mar 22, 2012, registered Apr 5, 2012 (14 days) · Other
- C••••• A•••••• N••••••• L•• to B••••••• I••••••••• S•••••••• I••• •••••left Dec 31, 2010, registered Jun 14, 2011 (165 days) · Other
- P•••••• P••••••• S••••••••• I••• to C••••• A•••••• N••••••• L••left Aug 13, 2008, registered Aug 13, 2008 (0 days) · corporate re-registration, not a move
- A••••••• A••••••• S••••••• to P•••••• P••••••• S••••••••• I•••left Jul 11, 2006, registered Jul 7, 2006 (-4 days) · Other
- S••••••• F•••••••• S•••••••• I••• to A••••••• A••••••• S•••••••left Apr 29, 2005, registered May 4, 2005 (5 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
- Wirehousederived
- Years in industry
- 24derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address