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•••••• G••• H•••••••
- D•••••••• A••••••• S•••••••• L•• BD affiliated currentsince Oct 3, 2023 · South Jordan, Ut
- A••••••••• F•••••••• S•••••••• L•• national BDMay 14, 2012 to Sep 2, 2022 · Windsor, Ca
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseOct 23, 2009 to May 15, 2012 · Santa Rosa, Ca
- B••• O• A•••••• I••••••••• S•••••••• I••• unclassifiedFeb 5, 2008 to Oct 23, 2009 · Santa Rosa, Ca
- L•• F•••••••• L•• BD affiliatedJan 16, 2007 to Feb 5, 2008 · Irvine, Ca
- F•• S••••••••• C••••••••• formerNov 8, 2005 to Jan 22, 2007 · Woodland Hills, Ca
- A••••••••• F•••••••• S•••••••• L•• to D•••••••• A••••••• S•••••••• L••left Sep 2, 2022, registered Oct 3, 2023 (396 days) · Affiliated broker-dealer or bank to another
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to A••••••••• F•••••••• S•••••••• L••left May 15, 2012, registered May 14, 2012 (-1 days) · Wirehouse to affiliated broker-dealer or bank
- 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
- L•• F•••••••• L•• to B••• O• A•••••• I••••••••• S•••••••• I•••left Feb 5, 2008, registered Feb 5, 2008 (0 days) · Other
- F•• S••••••••• C••••••••• to L•• F•••••••• L••left Jan 22, 2007, registered Jan 16, 2007 (-6 days) · Other
- M•••••• G••• H••••••• left A••••••••• F•••••••• S•••••••• L•• for D•••••••• A••••••• S•••••••• L•• (registered 2023-10-03)Sep 2, 2022 · 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
- 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