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.
R••• N••••••••• P•••••••
- C•••••• S••••• • C••• I••• national BD currentsince Dec 14, 2022 · Roseville, Ca
- W•••• F•••• A••••••• wirehouseFeb 1, 2016 to Aug 25, 2022 · Fair Oaks, Ca
- J••• M••••• S••••••••• L•• wirehouseOct 1, 2012 to Feb 9, 2016 · Roseville, Ca
- C•••• I••••••••• S••••••• C•••• formerMar 8, 2012 to Oct 1, 2012 · Roseville, Ca
- W•••••• S••••••••• I••• BD affiliatedDec 8, 2009 to Aug 5, 2010 · Sacramento, Ca
- H•••••• S••••••••• I••• BD affiliatedNov 19, 2008 to Dec 10, 2009 · Dallas, Tx
- M••• S•••• • C••• L••• unclassifiedAug 23, 2006 to Dec 22, 2008 · Sacramento, Ca
- W•••• F•••• A••••••• to C•••••• S••••• • C••• I•••left Aug 25, 2022, registered Dec 14, 2022 (111 days) · Wirehouse to affiliated broker-dealer or bank
- J••• M••••• S••••••••• L•• to W•••• F•••• A•••••••left Feb 9, 2016, registered Feb 1, 2016 (-8 days) · Wirehouse to wirehouse · moved with a team
- C•••• I••••••••• S••••••• C•••• to J••• M••••• S••••••••• L••left Oct 1, 2012, registered Oct 1, 2012 (0 days) · corporate re-registration, not a move
- W•••••• S••••••••• I••• to C•••• I••••••••• S••••••• C••••left Aug 5, 2010, registered Mar 8, 2012 (581 days) · Other
- H•••••• S••••••••• I••• to W•••••• S••••••••• I•••left Dec 10, 2009, registered Dec 8, 2009 (-2 days) · Other
- M••• S•••• • C••• L••• to H•••••• S••••••••• I•••left Dec 22, 2008, registered Nov 19, 2008 (-33 days) · corporate re-registration, not a move
- R••• N••••••••• P••••••• left W•••• F•••• A••••••• for C•••••• S••••• • C••• I••• (registered 2022-12-14)Aug 25, 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
- National broker-dealer RIAderived
- Years in industry
- 24derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address