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.
T••••• D••••• W•••••••
- W••••••• D••••••••• C••••••• L•• independent RIA currentsince Mar 24, 2020 · Bakersfield, Ca
- W•••• F•••• A••••••• wirehouseJan 3, 2011 to Mar 24, 2020 · San Luis Obispo, Ca
- W•••• F•••• I••••••••• L•• unclassifiedApr 20, 2009 to Jan 3, 2011 · Bakersfield, Ca
- B••• O• A•••••• I••••••••• S•••••••• I••• unclassifiedFeb 13, 2004 to Apr 20, 2009 · Oakhurst, Ca
- M••••• S•••••• D• I••• unclassifiedJul 8, 1997 to Feb 25, 2004 · Bakersfield, Ca
- W•••• F•••• A••••••• to W••••••• D••••••••• C••••••• L••left Mar 24, 2020, registered Mar 24, 2020 (0 days) · Wirehouse to a newly registered adviser (no RAUM reported yet) · moved with a team
- W•••• F•••• I••••••••• L•• to W•••• F•••• A•••••••left Jan 3, 2011, registered Jan 3, 2011 (0 days) · corporate re-registration, not a move
- B••• O• A•••••• I••••••••• S•••••••• I••• to W•••• F•••• I••••••••• L••left Apr 20, 2009, registered Apr 20, 2009 (0 days) · Other
- M••••• S•••••• D• I••• to B••• O• A•••••• I••••••••• S•••••••• I•••left Feb 25, 2004, registered Feb 13, 2004 (-12 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
- Independent wealth managerderived
- Years in industry
- 45derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address