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••••••• R••••• K•••••
- O•••• W•••••• I••• BD affiliated currentsince Jun 14, 2024 · Lodi, Ca
- S••••••••• A•••••• A•••••••• I••• formerOct 20, 2017 to Jun 14, 2024 · Lodi, Ca
- N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N•• formerOct 5, 2016 to Oct 26, 2017 · Stockton, Ca
- L•• F•••••••• L•• BD affiliatedSep 8, 2009 to Jan 28, 2013 · Stocken, Ca
- A••••••••• S••••••••• C•••• unclassifiedNov 24, 2008 to Sep 8, 2009 · Stocken, Ca
- F•• S••••••••• C••••••••• formerDec 12, 2006 to Nov 25, 2008 · Stockton, Ca
- S•••••••• W••••• A••••••• G•••• formerNov 17, 2006 to Jan 4, 2007 · Stockton, Ca
- S•••• • G••••••• F•••••••• G•••• unclassifiedFeb 15, 2005 to Dec 31, 2006 · Stockton, Ca
- S••••••••• A•••••• A•••••••• I••• to O•••• W•••••• I•••left Jun 14, 2024, registered Jun 14, 2024 (0 days) · corporate re-registration, not a move
- N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N•• to S••••••••• A•••••• A•••••••• I•••left Oct 26, 2017, registered Oct 20, 2017 (-6 days) · Other · moved with a team
- L•• F•••••••• L•• to N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N••left Jan 28, 2013, registered Oct 5, 2016 (1346 days) · Other
- A••••••••• S••••••••• C•••• to L•• F•••••••• L••left Sep 8, 2009, registered Sep 8, 2009 (0 days) · Other
- F•• S••••••••• C••••••••• to A••••••••• S••••••••• C••••left Nov 25, 2008, registered Nov 24, 2008 (-1 days) · Other
- S•••••••• W••••• A••••••• G•••• to F•• S••••••••• C•••••••••left Jan 4, 2007, registered Dec 12, 2006 (-23 days) · Other
- S•••• • G••••••• F•••••••• G•••• to S•••••••• W••••• A••••••• G••••left Dec 31, 2006, registered Nov 17, 2006 (-44 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 21derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address