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.
C•••••••• A•••• F•••••
- S•••• F••• I••••••••• M••••••••• C•••• asset manager currentsince May 12, 2021 · Pleasanton, Ca
- P•••••••• S••••••••• I••• BD affiliatedMar 16, 2020 to Jan 21, 2021 · Roseville, Ca
- O•••• F•• I••• formerSep 16, 2005 to Sep 5, 2006 · Sacramento, Ca
- A••••••••• F•••••••• S•••••••• L•• national BDOct 20, 2003 to Apr 16, 2004 · Boca Raton, Fl
- P•••••••• S••••••••• I••• to S•••• F••• I••••••••• M••••••••• C••••left Jan 21, 2021, registered May 12, 2021 (111 days) · Other
- O•••• F•• I••• to P•••••••• S••••••••• I•••left Sep 5, 2006, registered Mar 16, 2020 (4941 days) · Other
- A••••••••• F•••••••• S•••••••• L•• to O•••• F•• I•••left Apr 16, 2004, registered Sep 16, 2005 (518 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
- Asset manager (funds and pooled vehicles)derived
- Years in industry
- 22derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address