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.
J•••• M••• W••••••
- I•••••• A•••••••• L•• independent RIA currentsince Feb 22, 2021 · Meridian, Id
- I•••••• A•••••••• L•• independent RIAMay 15, 2019 to May 15, 2019 · Sacramento, Ca
- M•••••• A•••••• N•••••• BD affiliatedJul 6, 2016 to May 31, 2019 · Sacramento, Ca
- S•••••••• W••••• A••••••• G•••• formerMar 31, 2010 to Jul 6, 2016
- A••••••••• F•••••••• S•••••••• L•• national BDJun 7, 2004 to Apr 7, 2010 · Roseville, Ca
- M•••••• A•••••• N•••••• to I•••••• A•••••••• L••left May 31, 2019, registered May 15, 2019 (-16 days) · RIA to a newly registered adviser
- S•••••••• W••••• A••••••• G•••• to M•••••• A•••••• N••••••left Jul 6, 2016, registered Jul 6, 2016 (0 days) · corporate re-registration, not a move
- A••••••••• F•••••••• S•••••••• L•• to S•••••••• W••••• A••••••• G••••left Apr 7, 2010, registered Mar 31, 2010 (-7 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
- 22derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address