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.
K•••• M•••••• T•••••
- O•••• W•••••• I••• BD affiliated currentsince Jan 19, 2024 · Sacramento, Ca
- W••••••• F•••••••• S•••••••• I••• formerAug 21, 2019 to Jan 19, 2024 · Roseville, Ca
- B•••• F•••••••• unclassifiedJun 18, 2018 to Nov 19, 2019 · Sacramento, Ca
- O•••• W•••••• I••• BD affiliatedJan 8, 2014 to Mar 22, 2017 · Sacramento, Ca
- G••••••• B•••••• • B••••••• W••••• A•• R••••••••• P••• M•••• L•• formerJan 3, 2008 to Mar 16, 2017 · Sacramento, Ca
- A••••••••• F•••••••• S•••••••• L•• national BDFeb 9, 2007 to Oct 17, 2007 · Bellevue, Wa
- W••••••• F•••••••• S•••••••• I••• to O•••• W•••••• I•••left Jan 19, 2024, registered Jan 19, 2024 (0 days) · corporate re-registration, not a move
- B•••• F•••••••• to W••••••• F•••••••• S•••••••• I•••left Nov 19, 2019, registered Aug 21, 2019 (-90 days) · Other
- O•••• W•••••• I••• to B•••• F••••••••left Mar 22, 2017, registered Jun 18, 2018 (453 days) · Other
- G••••••• B•••••• • B••••••• W••••• A•• R••••••••• P••• M•••• L•• to O•••• W•••••• I•••left Mar 16, 2017, registered Jan 8, 2014 (-1163 days) · Other
- A••••••••• F•••••••• S•••••••• L•• to G••••••• B•••••• • B••••••• W••••• A•• R••••••••• P••• M•••• L••left Oct 17, 2007, registered Jan 3, 2008 (78 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 19derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address