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.
D••••• P•••••• L••••
- A••••••• F••••••••• L••• BD affiliated currentsince Oct 5, 2022 · Folsom, Ca
- J•••••• A••••••• G••••• L•• independent RIADec 15, 2014 to Sep 30, 2022 · Gold River, Ca
- P••••••••• F•••••••• G•••• formerOct 24, 2008 to Dec 17, 2014 · Gold River, Ca
- Q•• F•••••••• L•• unclassifiedOct 2, 2008 to Oct 22, 2008 · Roseville, Ca
- R••••••• I••••••••• A••••••••• I••• formerMay 19, 2006 to Oct 2, 2008 · Petaluma, Ca
- P••••••••• F•••••••• G•••• formerJan 12, 2004 to Dec 15, 2004 · Gold River, Ca
- J•••••• A••••••• G••••• L•• to A••••••• F••••••••• L•••left Sep 30, 2022, registered Oct 5, 2022 (5 days) · RIA to affiliated broker-dealer or bank
- P••••••••• F•••••••• G•••• to J•••••• A••••••• G••••• L••left Dec 17, 2014, registered Dec 15, 2014 (-2 days) · Other
- Q•• F•••••••• L•• to P••••••••• F•••••••• G••••left Oct 22, 2008, registered Oct 24, 2008 (2 days) · Other
- R••••••• I••••••••• A••••••••• I••• to Q•• F•••••••• L••left Oct 2, 2008, registered Oct 2, 2008 (0 days) · Other
- P••••••••• F•••••••• G•••• to R••••••• I••••••••• A••••••••• I•••left Dec 15, 2004, registered May 19, 2006 (520 days) · Other
- D••••• P•••••• L•••• left J•••••• A••••••• G••••• L•• for A••••••• F••••••••• L••• (registered 2022-10-05)Sep 30, 2022 · 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
- 22derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address