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.
M•••••• A••• C•••••••••
- C••••••••• F•••••••• N•••••• national BD currentsince Jan 1, 2026 · Browns Valley, Ca
- C••••••••• F•••••••• N•••••• national BDJan 6, 2023 to Apr 1, 2024 · Yuba City, Ca
- W••••••• F•••••••• S•••••••• I••• formerNov 23, 2010 to Jan 10, 2023 · Yuba City, Ca
- E••••• J•••• national BDJan 18, 2007 to Nov 26, 2010 · Yuba City, Ca
- W••••••• F•••••••• S•••••••• I••• to C••••••••• F•••••••• N••••••left Jan 10, 2023, registered Jan 6, 2023 (-4 days) · Affiliated broker-dealer or bank to another · moved with a team
- E••••• J•••• to W••••••• F•••••••• S•••••••• I•••left Nov 26, 2010, registered Nov 23, 2010 (-3 days) · Other
- M•••••• A••• C••••••••• left W••••••• F•••••••• S•••••••• I••• for C••••••••• F•••••••• N•••••• (registered 2023-01-06)Jan 10, 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
- National broker-dealer RIAderived
- Years in industry
- 21derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address