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.
P••••• F••••• C•••
- C••••• I••••••••• A••••••• L•• BD affiliated currentsince Jun 29, 2023 · Patterson, Ca
- V••• F•••••••• A•••••••• I••• BD affiliatedJun 15, 2006 to Jun 9, 2021 · Tucson, Az
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseAug 27, 2004 to Jun 12, 2006 · Castro Valley, Ca
- M••••• S•••••• D• I••• unclassifiedApr 14, 2003 to Aug 30, 2004 · Hayward, Ca
- V••• F•••••••• A•••••••• I••• to C••••• I••••••••• A••••••• L••left Jun 9, 2021, registered Jun 29, 2023 (750 days) · corporate re-registration, not a move
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to V••• F•••••••• A•••••••• I•••left Jun 12, 2006, registered Jun 15, 2006 (3 days) · Other
- M••••• S•••••• D• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Aug 30, 2004, registered Aug 27, 2004 (-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
- 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