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.
J•••• M•• H•••
- C••••••• institutional currentsince Apr 13, 2023 · Sacramento, Ca
- S•• C•••• F•••••••• independent RIAMar 10, 2021 to Feb 24, 2023 · Roseville, Ca
- O•••• W•••••• I••• BD affiliatedJun 11, 2019 to Jan 25, 2021 · Sacramento, Ca
- C••••••••• F•••••••• N•••••• national BDFeb 15, 2019 to May 20, 2019 · Sacramento, Ca
- S•• C•••• F•••••••• to C•••••••left Feb 24, 2023, registered Apr 13, 2023 (48 days) · Other
- O•••• W•••••• I••• to S•• C•••• F••••••••left Jan 25, 2021, registered Mar 10, 2021 (44 days) · Affiliated broker-dealer or bank to independent RIA
- C••••••••• F•••••••• N•••••• to O•••• W•••••• I•••left May 20, 2019, registered Jun 11, 2019 (22 days) · Affiliated broker-dealer or bank to another
- J•••• M•• H••• left S•• C•••• F•••••••• for Captrust (registered 2023-04-13)Feb 24, 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
- Institutional managerderived
- Years in industry
- 19derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address