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.
B•••• E••••• H•••
- L•• F•••••••• L•• BD affiliated currentsince Dec 11, 2023 · Dana Point, Ca
- F•••••••• A•••••••• I••••••••• M••••••••• formerAug 8, 2017 to Dec 8, 2023 · Fresno, Ca
- W•••••• • R••• formerJan 19, 2012 to Aug 15, 2017 · Fresno, Ca
- M••••• S•••••• wirehouseJun 1, 2009 to Feb 6, 2012 · Fresno, Ca
- M••••• S•••••• • C•• L•• unclassifiedApr 2, 2007 to Jun 1, 2009 · Fresno, Ca
- M••••• S•••••• D• I••• unclassifiedJun 16, 2004 to Apr 2, 2007 · Fresno, Ca
- F•••••••• A•••••••• I••••••••• M••••••••• to L•• F•••••••• L••left Dec 8, 2023, registered Dec 11, 2023 (3 days) · RIA to affiliated broker-dealer or bank
- W•••••• • R••• to F•••••••• A•••••••• I••••••••• M•••••••••left Aug 15, 2017, registered Aug 8, 2017 (-7 days) · Other
- M••••• S•••••• to W•••••• • R•••left Feb 6, 2012, registered Jan 19, 2012 (-18 days) · Other
- M••••• S•••••• • C•• L•• to M••••• S••••••left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
- M••••• S•••••• D• I••• to M••••• S•••••• • C•• L••left Apr 2, 2007, registered Apr 2, 2007 (0 days) · corporate re-registration, not a move
- B•••• E••••• H••• left F•••••••• A•••••••• I••••••••• M••••••••• for L•• F•••••••• L•• (registered 2023-12-11)Dec 8, 2023 · 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