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.
L•••• M•••••• G•••••••
- A••••••••• F•••••••• S•••••••• L•• national BD currentsince Apr 20, 2018 · Woodland, Ca
- L•• F•••••••• L•• BD affiliatedDec 9, 2008 to Apr 27, 2018 · Woodland, Ca
- S••••••• I••••••••• I••• formerMar 5, 2007 to Dec 11, 2008 · Sacramento, Ca
- L•• F•••••••• L•• to A••••••••• F•••••••• S•••••••• L••left Apr 27, 2018, registered Apr 20, 2018 (-7 days) · RIA to affiliated broker-dealer or bank
- S••••••• I••••••••• I••• to L•• F•••••••• L••left Dec 11, 2008, registered Dec 9, 2008 (-2 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
- 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