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.
S•••• L•••••• S••••
- L•••••• S•• I••••••••• A•••••••• L••••• BD affiliated currentsince Dec 22, 2024 · Sun City West, Az
- S•• I••••••••• A•••••••• I••• formerJan 5, 2015 to Dec 20, 2024 · Fresno, Ca
- S•• I••••••••• A•••••••• I••• to L•••••• S•• I••••••••• A•••••••• L•••••left Dec 20, 2024, registered Dec 22, 2024 (2 days) · Affiliated broker-dealer or bank to another
- S•••• L•••••• S•••• left S•• I••••••••• A•••••••• I••• for L•••••• S•• I••••••••• A•••••••• L••••• (registered 2024-12-22)Dec 20, 2024 · 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
- 20derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address