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•••••• J•••• W•••••••
- L•• F•••••••• L•• BD affiliated currentsince Dec 16, 2019 · Rocklin, Ca
- C••••••• • C••• I••• formerMay 29, 2012 to Dec 23, 2019 · Yuba City, Ca
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseOct 23, 2009 to May 29, 2012 · Roseville, Ca
- B••• O• A•••••• I••••••••• S•••••••• I••• unclassifiedSep 16, 2008 to Oct 23, 2009 · Yuba City, Ca
- E••••• J•••• national BDFeb 12, 2007 to Sep 16, 2008 · Woodland, Ca
- C••••••• • C••• I••• to L•• F•••••••• L••left Dec 23, 2019, registered Dec 16, 2019 (-7 days) · Affiliated broker-dealer or bank to another
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to C••••••• • C••• I•••left May 29, 2012, registered May 29, 2012 (0 days) · Other
- B••• O• A•••••• I••••••••• S•••••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Oct 23, 2009, registered Oct 23, 2009 (0 days) · corporate re-registration, not a move
- E••••• J•••• to B••• O• A•••••• I••••••••• S•••••••• I•••left Sep 16, 2008, registered Sep 16, 2008 (0 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