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•••••• L••• F••••
- S•••••• N••••••• • C••••••• I••••••••• national BD currentsince May 12, 2016 · Stockton, Ca
- U•• F•••••••• S••••••• I••• wirehouseDec 21, 2010 to May 20, 2016 · Stockton, Ca
- W•••• F•••• A••••••• wirehouseJan 1, 2008 to Dec 23, 2010 · Stockton, Ca
- A• G• E•••••• • S•••• I••• unclassifiedJul 13, 2004 to Jan 1, 2008 · Stockton, Ca
- U•• F•••••••• S••••••• I••• to S•••••• N••••••• • C••••••• I•••••••••left May 20, 2016, registered May 12, 2016 (-8 days) · Wirehouse to affiliated broker-dealer or bank
- W•••• F•••• A••••••• to U•• F•••••••• S••••••• I•••left Dec 23, 2010, registered Dec 21, 2010 (-2 days) · Wirehouse to wirehouse
- A• G• E•••••• • S•••• I••• to W•••• F•••• A•••••••left Jan 1, 2008, registered Jan 1, 2008 (0 days) · corporate re-registration, not a move
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
- National broker-dealer RIAderived
- Years in industry
- 22derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address