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.
E•••• J••••
- F••••••••• I••••••••• A••••••• L•• independent RIA currentsince Jan 27, 2025 · Phoenix, Az
- F••••••••• I••••••••• A••••••• L•• independent RIAMar 23, 2017 to Feb 5, 2018 · Burlingame, Ca
- O•••• W•••••• I••• BD affiliatedMay 6, 2011 to Aug 13, 2013 · Walnut Creek, Ca
- A••••••• A••••••• S••••••• formerNov 24, 2009 to May 19, 2011 · Lincoln, Ne
- S•• BD affiliatedFeb 5, 2009 to Nov 4, 2009 · Martinez, Ca
- O•••• W•••••• I••• to F••••••••• I••••••••• A••••••• L••left Aug 13, 2013, registered Mar 23, 2017 (1318 days) · Other
- A••••••• A••••••• S••••••• to O•••• W•••••• I•••left May 19, 2011, registered May 6, 2011 (-13 days) · Other
- S•• to A••••••• A••••••• S•••••••left Nov 4, 2009, registered Nov 24, 2009 (20 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
- Independent wealth managerderived
- Years in industry
- 24derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address