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.
B••••••• A• C••••••
- E••••• J•••• national BD currentsince Jan 31, 2024 · Suisun City, Ca
- L•• F•••••••• L•• BD affiliatedJan 4, 2012 to Feb 12, 2024 · Vacaville, Ca
- C•••••••• G••••• M•••••• I••• BD affiliatedNov 28, 2007 to Dec 21, 2011 · Pinole, Ca
- A• G• E•••••• • S•••• I••• unclassifiedJul 24, 2006 to Dec 3, 2007 · Sacramento, Ca
- L•• F•••••••• L•• to E••••• J••••left Feb 12, 2024, registered Jan 31, 2024 (-12 days) · Affiliated broker-dealer or bank to another
- C•••••••• G••••• M•••••• I••• to L•• F•••••••• L••left Dec 21, 2011, registered Jan 4, 2012 (14 days) · Other
- A• G• E•••••• • S•••• I••• to C•••••••• G••••• M•••••• I•••left Dec 3, 2007, registered Nov 28, 2007 (-5 days) · Other
- B••••••• A• C•••••• left L•• F•••••••• L•• for E••••• J•••• (registered 2024-01-31)Feb 12, 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
- National broker-dealer RIAderived
- Years in industry
- 20derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address