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.
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C••••••••• C•••••• B•••••••
- L•• F•••••••• L•• BD affiliated currentsince Sep 29, 2023 · West Sacramento, Ca
- S••••••••• A•••••• A•••••••• I••• formerNov 6, 2020 to Sep 29, 2023 · West Sacramento, Ca
- A•••• P•••• A••••••• formerNov 6, 2020 to Dec 19, 2022 · West Sacramento, Ca
- K•• F•••••••• S•••••••• I•• formerDec 2, 2013 to Nov 6, 2020 · West Sacramento, Ca
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliatedApr 3, 2009 to Dec 4, 2013 · West Sacremento, Ca
- E••••• J•••• national BDMay 31, 2007 to Mar 18, 2009 · Woodland, Ca
- S••••••••• A•••••• A•••••••• I••• to L•• F•••••••• L••left Sep 29, 2023, registered Sep 29, 2023 (0 days) · Affiliated broker-dealer or bank to another · moved with a team
- A•••• P•••• A••••••• to S••••••••• A•••••• A•••••••• I•••left Dec 19, 2022, registered Nov 6, 2020 (-773 days) · channel change inside one enterprise, not a move
- K•• F•••••••• S•••••••• I•• to A•••• P•••• A•••••••left Nov 6, 2020, registered Nov 6, 2020 (0 days) · channel change inside one enterprise, not a move · moved with a team
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• to K•• F•••••••• S•••••••• I••left Dec 4, 2013, registered Dec 2, 2013 (-2 days) · Other
- E••••• J•••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••left Mar 18, 2009, registered Apr 3, 2009 (16 days) · Other
- C••••••••• C•••••• B••••••• left S••••••••• A•••••• A•••••••• I••• for L•• F•••••••• L•• (registered 2023-09-29)Sep 29, 2023 · Advisor changed firm · fact
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