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.
- L•• F•••••••• L•• BD affiliated currentsince Feb 7, 2018 · Clovis, Ca
- I••••••••• C•••••• O• A••••••• I••• formerFeb 9, 2007 to Dec 5, 2017 · Fresno, Ca
- S••••••• P•••••• F••••••••• L•• formerNov 14, 2005 to Feb 14, 2007 · Merced, Ca
- I••• F•••••••• S••••••• C••••••••• unclassifiedAug 26, 2004 to Nov 14, 2005 · Fresno, Ca
- C••••••• I••••••••• S••••••• unclassifiedJul 30, 2003 to Aug 24, 2004 · Fresno, Ca
- M••••• S•••••• D• I••• unclassifiedOct 8, 2002 to Jul 2, 2003 · Fresno, Ca
- I••••••••• C•••••• O• A••••••• I••• to L•• F•••••••• L••left Dec 5, 2017, registered Feb 7, 2018 (64 days) · corporate re-registration, not a move
- S••••••• P•••••• F••••••••• L•• to I••••••••• C•••••• O• A••••••• I•••left Feb 14, 2007, registered Feb 9, 2007 (-5 days) · Other
- I••• F•••••••• S••••••• C••••••••• to S••••••• P•••••• F••••••••• L••left Nov 14, 2005, registered Nov 14, 2005 (0 days) · Other
- C••••••• I••••••••• S••••••• to I••• F•••••••• S••••••• C•••••••••left Aug 24, 2004, registered Aug 26, 2004 (2 days) · Other
- M••••• S•••••• D• I••• to C••••••• I••••••••• S•••••••left Jul 2, 2003, registered Jul 30, 2003 (28 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
- 23derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address