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.
S•••••• K•••• T•••••
- W•••• F•••• A••••••• wirehouse currentsince Apr 11, 2024 · Roseville, Ca
- L•• F•••••••• L•• BD affiliatedJul 19, 2023 to Apr 26, 2024 · Roseville, Ca
- B••••••• I••••••••• S•••••••• I••• ••••• formerMay 26, 2008 to Jul 25, 2023 · El Dorado Hills, Ca
- L•• F•••••••• L•• to W•••• F•••• A•••••••left Apr 26, 2024, registered Apr 11, 2024 (-15 days) · Affiliated broker-dealer or bank to wirehouse · moved with a team
- B••••••• I••••••••• S•••••••• I••• ••••• to L•• F•••••••• L••left Jul 25, 2023, registered Jul 19, 2023 (-6 days) · corporate re-registration, not a move
- S•••••• K•••• T••••• left L•• F•••••••• L•• for W•••• F•••• A••••••• (registered 2024-04-11)Apr 26, 2024 · 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
- Wirehousederived
- Years in industry
- 22derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address